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 2021 Compliance Calendar

February 23, 2021

The Thought Leaders at Vigilant have created a 2021 Compliance Calendar for keeping track of important due dates this year.[...]

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Vigilant’s Director, Justin Dausch, Provides Insights towards the Ad Rule and its effect on Social Media

February 22, 2021

On February 22nd, Ignites provided a publication on the Ad Rule and how it may push shops to ban social media. Professionals[...]

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Vigilant’s January Recap Newsletter

February 12, 2021

2021 started off strong providing everyone with insightful information for the New Year. Vigilant would like to highlight some important[...]

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Vigilant’s Managing Director, Patrick Chism, Provides Insights towards Reg BI Exams

February 09, 2021

On 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: A Full-Service Investment Management Solutions Firm

February 03, 2021

Today’s the day! We have some exciting news to share, and now we are here to unveil it. Click the[...]

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White House – Effect on New Marketing Rule

January 29, 2021

Last week, the White House released an important announcement stating that there will be a 60 Day Delay on new rules that have not taken[...]

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Vigilant’s Guidance on the New SEC Marketing Rule

January 27, 2021

On December 22, 2020, the SEC adopted a Modernized Marketing Rule for Investment Advisers. This new rule was a much anticipated[...]

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Vigilant’s Important Announcement for the New Year!

January 21, 2021

In less than 2 weeks Vigilant has some very exciting news to unveil! This news is based off of the growth[...]

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Division of Examinations Addressed the Threat from Securities Associated with Chinese Military Companies

January 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[...]

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Compliance Recap: December 2020

January 05, 2021

As 2020 comes to an end, we would like to highlight some important takeaways from the month of December and[...]

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Vigilant’s COO, Chuck Martin, Provides Insights Towards the New Advertising Rule

December 29, 2020

Last week we saw the SEC unanimously pass the Advertising Rule for Investment Advisers as well as a rule that[...]

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SEC Adopts Modernized Marketing Rule for Investment Advisers

December 22, 2020

The 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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