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’s January Recap NewsletterFebruary 12, 2021
2021 started off strong providing everyone with insightful information for the New Year. Vigilant would like to highlight some important[...]Read Article
Division of Examinations Addressed the Threat from Securities Associated with Chinese Military CompaniesJanuary 08, 2021
The Division of Examinations (formerly known as OCIE) released a Risk Alert on Wednesday (1/6/21) notifying Investment Advisers, Broker-Dealers, and other[...]Read Article
Compliance Recap: December 2020January 05, 2021
As 2020 comes to an end, we would like to highlight some important takeaways from the month of December and[...]Read Article