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.
News and Alerts
Is Remote Work Not The New Normal?
February 25, 2021David Solomon, Goldman Sachs Group Inc. CEO, provided his insights and warnings to remote workers from afar. He wants to[...]
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News and Alerts
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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News and Alerts
The Unprecedented Future of Working Fully Remote
November 05, 2020Are you aware of the Long Term Implications of continued Remote Work? With remote work being the “New Norm”, the potential[...]
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News and Alerts
October 2020 Recap
November 03, 2020Hello November! In this issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of October and some reminders for the[...]
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News and Alerts
Compliance Recap: September 2020
October 01, 2020In this issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of September and some reminders for the upcoming months.[...]
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News and Alerts
CyberSecurity Threat Mitigation Checklist
September 18, 2020Vigilant is a trusted provider of cybersecurity consulting services. Check out our cybersecurity services to keep your firm protected from[...]
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News and Alerts
Compliance Recap: August Monthly Newsletter
September 01, 2020In the inaugural issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of August and some reminders[...]
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News and Alerts
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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News and Alerts
Vigilant Celebrates 16 Years of Compliance Excellence
August 24, 2020Vigilant celebrates 16 successful years in business as of August 15th, 2020. Vigilant was founded by Savatore Faia, JD, CPA,[...]
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News and Alerts
OCIE Releases Risk Alert for Broker-Dealers and Investment Advisers
August 13, 2020On August 12th, 2020 the OCIE Released a Risk Alert covering COVID-19 Compliance Risks and Considerations for Investment Advisers and[...]
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August 12, 2020On August 12th, 2020 the OCIE Released a Risk Alert covering COVID-19 Compliance Risks and Considerations for Investment Advisers and[...]
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News and Alerts
OCIE Cybersecurity Alert: Ransomware Attacks
July 14, 2020The Office of Compliance Inspections and Examinations (OCIE) Released a cybersecurity alert on July 10th 2020, to warn financial services market participants and[...]
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