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 Risk Alert: OCIE Examines Broker-Dealers And Investment Advisers

December 18, 2020

The 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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5 Ways Vigilant can Help YOU Gain a Competitive Advantage in 2021.

December 17, 2020

With unprecedented uncertainty heading into 2021 it is important to have a strong Compliance program and gain a competitive advantage[...]

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Vigilant Nomination for Best Compliance Advisory Firm

December 14, 2020

Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance Advisory Firm for the Fund Intelligence Operations & Services Awards[...]

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Framework For Fund Valuation Practices: Rule 2a-5

December 03, 2020

The 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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Vigilant: November 2020 Compliance Recap

December 01, 2020

It’s December Already! In this issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of November and some reminders for the[...]

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The Role of the CCO

November 21, 2020

OCIE’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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OCIE Risk Alert: Investment Advisor Compliance Programs

November 19, 2020

Today, 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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Vigilant Names Top Industry Veteran to Lead Its Broker/Dealer Division

November 11, 2020

Herald Investment Marketing, a leading provider of Principal Underwriting and Registered Representative Services for Mutual Funds and ETFs, has named[...]

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OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices

November 09, 2020

The 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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The Unprecedented Future of Working Fully Remote

November 05, 2020

Are you aware of the Long Term Implications of continued Remote Work? With remote work being the “New Norm”,  the potential[...]

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October 2020 Recap

November 03, 2020

Hello 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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How to Define the Parameters of Personal Liability for Compliance Officers

October 27, 2020

Due 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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