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 Compliance Newsletter | June 2024
July 07, 2024Monthly Newsletter In June, we saw Vigilant Insights, SEC Charges and SEC Releases. Below is a brief overview of what took[...]
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Vigilant Compliance Newsletter | April 2024
May 02, 2024Monthly Newsletter In April, we saw Vigilant Insights, SEC Charges, SEC Releases, and a FINRA Fine. Below is a brief overview of what[...]
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Vigilant Compliance Newsletter | March 2024
April 07, 2024Monthly Newsletter In March, we saw SEC Charges, SEC Statements, and Vigilant Announcements. Below is a brief overview of what took[...]
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Vigilant Compliance Newsletter | February 2024
March 03, 2024Monthly Newsletter In February, we saw Vigilant Insights, SEC Releases, and News and Alerts throughout the Industry. Below is a brief[...]
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Vigilant Compliance Newsletter | January 2024
February 02, 2024Monthly Newsletter In January, we saw multiple Vigilant Insights, SEC Releases, and News and Alerts throughout the Industry. Below is a[...]
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Vigilant Compliance Newsletter | December 2023
December 27, 2023Monthly Newsletter In December, we saw Vigilant Insights, Announcements, News and Alerts throughout the Industry. Below is a brief overview recapping what[...]
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Vigilant Compliance Newsletter | October 2023
November 03, 2023Monthly Newsletter In October, we saw Vigilant Insights and Announcements, SEC Insights and Releases and SEC Charges. Below is a brief overview[...]
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Vigilant Compliance Newsletter | September 2023
October 03, 2023Monthly Newsletter In September, we saw SEC Charges, new Adopted Rules, and Insights from Vigilant. Below is a brief overview of what took[...]
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Vigilant Monthly Newsletter | August 2023
September 04, 2023Vigilant Monthly Newsletter | August 2023 In August, we saw many Insights directly from the Vigilant Team, SEC New Rules and Releases,[...]
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Vigilant Monthly Newsletter | July 2023
August 01, 2023Monthly Newsletter In July, we saw SEC Releases, Vigilant Insights and Announcements, and News and Alerts throughout the Industry. Below is[...]
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Vigilant Monthly Newsletter | June 2023
July 05, 2023Monthly Newsletter In June, we saw SEC Releases and Charges, Vigilant Insights and Announcements, and News and Alerts throughout the Industry.[...]
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Vigilant Monthly Newsletter | May 2023
June 02, 2023Monthly Newsletter In May, we saw SEC/FINRA Releases and News and Alerts throughout the Industry. Below is a brief overview[...]
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