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: November 2020 Compliance RecapDecember 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[...]Read Article
OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch OfficesNovember 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[...]Read Article