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 Selected as Best Regulatory Advisory & Compliance Firm
October 28, 2022Vigilant Announcements Vigilant is thrilled to announce that we have been selected as the Best Regulatory Advisory & Compliance Firm by[...]
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SEC Proposes Rule for Outsourcing by Investment Advisers
October 27, 2022SEC Releases Overview: Proposed Rule 206(4)-11 – Service Provider Oversight On October 27, 2022, the Securities and Exchange Commission (“SEC”)[...]
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7 Tips To Build A Successful Compliance Program
October 26, 2022Vigilant Insights Brief Introduction Regulatory errors can be costly, not only from a fine and disgorgement perspective, but from a business and[...]
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7 Steps to Maintain Compliance with the Marketing Rule
October 24, 2022Vigilant Insights Brief Introduction The New Marketing Rule goes into full effect November 4th 2022. Firms across the industry should be taking immediate[...]
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New SEC Rule Amends Modern Preservation of Electronic Records
October 14, 2022SEC Releases Brief Introduction On October 12th, the SEC voted to amend the electronic recordkeeping, prompt production of records, and third-party recordkeeping[...]
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Malfunction On Commenting For 11 Rulemaking Releases
October 12, 2022SEC Releases Brief Introduction The SEC routinely opens a comment period for rulemaking releases to allow any interested and affected persons the[...]
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Breaches of Fiduciary Duty and Compliance Failures | SEC Charge
October 11, 2022SEC Releases Brief Introduction Last month, an Investment Adviser was charged by the SEC with a $200,000 civil penalty and required to pay clients $575,589[...]
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Vigilant Monthly Newsletter | September 2022
October 06, 2022Vigilant Monthly Newsletter In this edition of Vigilant’s Monthly Newsletter for September, we saw our highest amount of content for[...]
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SEC’s Examination Approach on Rule 18f-4 | Chuck Martin Reacts
October 05, 2022Chuck Martin Observations | Vigilant Insights Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, provided his thoughts on BoardIQ that focuses on[...]
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First SEC Fine Under The Municipal Advisor Registration Rule
October 03, 2022Brief Introduction For the first time under the municipal advisor registration rule, the SEC fined a Registered Broker Dealer for a violation of[...]
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SEC Chair Provides Comments on the SEC’s Agenda
September 30, 2022Brief Introduction SEC Chair, Gary Gensler, made multiple comments during a 30-minute discussion with IAA CEO, Karen Barr, that gave insight into the SEC’s[...]
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SEC Examination on Derivatives Rule | Chuck Martin Insights
September 29, 2022Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, provided his insights on BoardIQ that focuses on the SEC’s examination of[...]
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