Vigilant’s experienced professionals have extensive knowledge in Investment Adviser, Broker-Dealer, Mutual Fund, Private Equity, and Cybersecurity compliance, risk, and technology. Vigilant provides insights on best practices, trends, and industry news. Our blog consolidates all SEC, Vigilant, and industry-specific compliance alerts, white papers, articles, etc., to help you stay informed and find the information that you will need and find useful.
Vigilant Insights
5 Forecasted Trends in Compliance after Q1
April 19, 2021We’ve Compared 2022 vs. 2021 Priorities Here As Q1 comes to an end, we have seen a lot of[...]
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Vigilant Insights
Vigilant Insights Rule 6c-11
April 07, 2021Vigilant has provided content on Rule 6c-11 for Advisors. Managing Director, Perpetua Seidenberg, CPA, MBA, IACCP provided insights and comments[...]
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Vigilant Insights
Vigilant’s 2021 Compliance Calendar
February 23, 2021The Thought Leaders at Vigilant have created a 2021 Compliance Calendar for keeping track of important due dates this year.[...]
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Vigilant Insights
Vigilant’s Managing Director, Patrick Chism, Provides Insights towards Reg BI Exams
February 09, 2021On February 5th, Financial Planning provided a publication on FINRA expecting to see significant progress in firms compliance policies and procedures[...]
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Vigilant Insights
Vigilant’s Guidance on the New SEC Marketing Rule
January 27, 2021View 2022’s Marketing Rule Priorities On December 22, 2020, the SEC adopted a Modernized Marketing Rule for Investment Advisers. This new[...]
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Vigilant Insights
Vigilant’s COO, Chuck Martin, Provides Insights Towards the New Advertising Rule
December 29, 2020Last week we saw the SEC unanimously pass the Advertising Rule for Investment Advisers as well as a rule that[...]
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Vigilant Insights
5 Ways Vigilant can Help YOU Gain a Competitive Advantage in 2021.
December 17, 2020With unprecedented uncertainty heading into 2021 it is important to have a strong Compliance program and gain a competitive advantage[...]
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