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.


SEC Charges Perpetrators of Prime Bank Schemes in Las Vegas and Switzerland

December 16, 2013

The Securities and Exchange Commission today announced fraud charges against a company named with an acronym for “Make A Lot[...]

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SEC to Hold Compliance Outreach Program for Investment Companies and Investment Advisers

December 13, 2013

The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment[...]

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SEC Charges Merrill Lynch With Misleading Investors in CDOs

December 12, 2013

The Securities and Exchange Commission today charged Merrill Lynch with making faulty disclosures about collateral selection for two collateralized debt[...]

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Jennifer L. Klass Partner from Morgan Lewis will present “How it All Works”

October 11, 2013

Update: The event has now passed. Please contact us for upcoming event recommendations. On Friday October 18, 2013, Jennifer L.[...]

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IA Compliance – Fall Conference 2013

August 13, 2013

IA Watch’s 13th Annual Compliance Conference was located in Philadelphia, PA at The Westin Philadelphia. Below are the following things[...]

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SEC – 2013 Mutual Funds and Investment Management Conference

March 12, 2013

The SEC hosted an event called “2013 Mutual Funds and Investment Management Conference” located in Palm Desert, California. It was[...]

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2013 MFDF Directors’ Institute

December 21, 2012

Updated: This event is now passed, if you would like to register for similar events, visit the MFDF website or[...]

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Vigilant, the Global Compliance Leader, Announces the Opening of its London Office

October 20, 2012

October 1, 2012. Vigilant Compliance, LLC Announced today that it has opened a new Office in London, U.K. “This is[...]

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Vigilant Announces the Opening of its Boston Office

October 20, 2012

Vigilant Compliance, LLC announced on October 1, 2012 that it has opened a Boston Office. Vigilant, the largest Outsourced CCO[...]

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