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 Releases
Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades
July 23, 2021Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades | Risk Alerts On July[...]
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SEC Releases
Receiving Transaction-Based Compensation? You Must Be Registered As A Broker-Dealer.
July 14, 2021SEC Charges Electronic Trading Platform | SEC Release On June 29th, 2021, the SEC announced that Neovest, Inc. failed to[...]
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SEC Releases
SEC Commissioner Provides Updates Towards Climate, ESG, and More
July 07, 2021SEC Release On June 28th, 2021, the 2021 Society for Corporate Governance National Conference took place, where there[...]
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SEC Releases
ESG Rules Update from Commissioner Elad L. Roisman
June 29, 2021Vigilant Insights | SEC Release On June 22nd, 2021, the SEC posted a speech regarding ESG Rules and if the SEC[...]
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SEC Releases
SEC Announces Annual Regulatory Agenda for Spring 2021
June 16, 2021Vigilant Insights On June 11th, 2021, the SEC announced the Spring 2021 Unified Agenda of Regulatory and Deregulatory[...]
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SEC Releases
S&P Dow Jones Indices Gets Charged with Failures Relating to Volatility-Related Index
May 17, 2021On May 17th, 2021, the SEC settled charges with S&P Dow Jones Indices for Failures Relating to Volatility-Related Index for which[...]
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SEC Releases
EXAMS Provides a Risk Alert on their Review of ESG Investing
April 12, 2021On April 9th, 2021 the Division of Examinations (EXAMS) released a Risk Alert on their Review of ESG Investing. Recently,[...]
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SEC Releases
Division of Examinations Provides a Risk Alert Regarding AML Requirements
March 29, 2021On Monday (March 29th, 2021) the Division of Examinations (“EXAMS”) released a Risk Alert regarding examinations they conducted from Broker-Dealers and Mutual Funds[...]
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SEC Releases
SEC Ad Rule gets an Official Date in Effect for May 4th
March 08, 2021After awaiting an announcement regarding when the Ad Rule will take effect from the delay that was given by the White[...]
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SEC Releases
Division of Examinations Announces 2021 Examination Priorities
March 04, 2021The SEC’s Division of Examinations announced its 2021 examination priorities on March 3rd, which highlights a greater focus on climate-related[...]
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SEC Releases
Division of Examinations Addressed the Threat from Securities Associated with Chinese Military Companies
January 08, 2021The Division of Examinations (formerly known as OCIE) released a Risk Alert on Wednesday (1/6/21) notifying Investment Advisers, Broker-Dealers, and other[...]
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SEC Releases
SEC Adopts Modernized Marketing Rule for Investment Advisers
December 22, 2020The SEC just released an important announcement today (12/22) stating that it has finalized reforms under the Investment Advisers Act to[...]
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