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 Charges $1.1 Billion to 16 Wall Street Firms

September 28, 2022

SEC Charges $1.1 Billion to 16 Firms Brief Introduction On September 27th, the SEC charged 16 firms over $1.1 Billion in[...]

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“Do It Yourself” Compliance | 5 Unintended Outcomes

September 27, 2022

  Brief Introduction Many firms underestimate the importance of a designated compliance team supporting their business. A common theme we have seen throughout[...]

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SEC Hosting A Compliance Outreach Program Seminar On Nov. 15

September 23, 2022

SEC Compliance Outreach Program National Seminar The SEC recently announced the date for their Compliance Outreach Program National Seminar which will be[...]

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SEC Charges $35 Million Over Failures to Protect “PII”

September 21, 2022

SEC Charges $35 Million Over Failures to Protect “PII” Brief Introduction On September 20th, the SEC charged a well known Firm[...]

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Risk Alert “Reminder” | New Marketing Rule

September 20, 2022

EXAMS Issues Risk Alert on New Investment Adviser Marketing Rule Brief Introduction On Monday, September 19th, the Division of Examinations (“EXAMS”),[...]

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Vigilant Shortlisted As Best Regulatory & Compliance Firm

September 16, 2022

Vigilant Shortlisted as Best Regulatory & Compliance Firm Vigilant is thrilled to announce that we have been shortlisted for our third award[...]

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Vigilant Shortlisted As Best Regulatory Advisory & Compliance Firm

September 15, 2022

Vigilant Nominated as Best Regulatory Advisory & Compliance Firm Vigilant is thrilled to announce that we have been shortlisted as the Best Regulatory Advisory[...]

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SEC Charges 9 Investment Advisers on Custody Rule and ADV Violations

September 14, 2022

Brief Introduction On September 9th, the SEC charged 9 investment advisers that failed to comply with requirements relating to safekeeping client assets and/or[...]

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What Is a Compliance Risk Matrix & Why Is It So Important?

September 14, 2022

Risk, for businesses, is any threat that gets in the way of a company’s goals. Compliance risks are anything that[...]

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Vigilant Shortlisted As Best ETF Regulatory/Compliance Adviser

September 13, 2022

Vigilant Nominated as Best ETF Regulatory/Compliance Adviser Vigilant is thrilled to announce that we have been shortlisted as the Best ETF Regulatory/Compliance Adviser for[...]

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Vigilant’s COO, Chuck Martin, and Manager, Ryan Hurley, Quoted in Ignites on the Newly Effective Fair Value Rule

September 08, 2022

Brief Introduction Chuck Martin and Ryan Hurley were both quoted in Ignites providing their thoughts and insights towards the SEC’s Fair Value Rule that is now effective[...]

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Vigilant’s COO, Chuck Martin, Quoted in BoardIQ on the SEC’s Drafted Strategic Plan

September 07, 2022

Brief Introduction Chuck Martin, MBA, was quoted in BoardIQ providing his thoughts and insights towards the SEC’s Drafted Strategic Plan that was originally[...]

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