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
SEC Risk Alert: OCIE Examines Broker-Dealers And Investment Advisers
December 18, 2020The SEC came out with a Risk Alert yesterday (12/17) regarding Observations from Examinations of Broker-Dealers and Investment Advisers (Large Trader Obligations). Here[...]
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SEC Releases
Framework For Fund Valuation Practices: Rule 2a-5
December 03, 2020The SEC made an announcement today (12/03) stating that they have adopted a new rule (2a-5) that establishes an updated[...]
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SEC Releases
The Role of the CCO
November 21, 2020OCIE’s Director Pete Driscoll, yesterday spoke at the SEC’s outreach program, sharing his views of the role of an Adviser’s[...]
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SEC Releases
OCIE Risk Alert: Investment Advisor Compliance Programs
November 19, 2020Today, November 19th, 2020, The Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert for Investment Advisor Compliance Programs noting significant[...]
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SEC Releases
OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices
November 09, 2020The Office of Compliance Inspections and Examinations (OCIE) conducted examinations focusing on SEC-registered investment advisers operating from multiple branch offices and with[...]
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SEC Releases
How to Define the Parameters of Personal Liability for Compliance Officers
October 27, 2020Due to the impact of COVID-19 it has created an increasingly difficult regulatory environment with complications for Compliance Professionals. Throughout this[...]
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SEC Releases
SEC Proposed Exemption from Broker-Dealer Registration for Finders
October 08, 2020On October 7th, the SEC released a public statement stating that the Commission has proposed to create a new exemption that will permit individuals[...]
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SEC Releases
Regulatory Framework for Fund of Funds Arrangements is Updated by the SEC
October 07, 2020Starting today on October 7th, the Securities and Exchange Commission voted to adopt a new rule and related amendments to facilitate[...]
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SEC Releases
SEC Adopts Amendments to “Accredited Investor” Definition
August 28, 2020On August 26th, the SEC made amendments to the “Accredited Investor” definition in attempts to modernize it. The definition is one of the[...]
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SEC Releases
SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers
July 02, 2020The SEC announced it has issued an order to update the filing threshold for broker-dealers Form 17-H Filings made pursuant[...]
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SEC Releases
Private Fund Adviser and Investor OCIE Risk Alert
June 24, 2020The OCIE, Office of Compliance Inspections and Examinations, released a Risk Alert concerning examinations of RIA’s that manage private equity[...]
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SEC Releases
LIBOR Transition Preparedness
June 23, 2020The OCIE announced the transition away from LIBOR as an examination program priority for FY 2020. LIBOR is formally known as the[...]
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