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
SEC Extends Relief for Virtual Meetings of Fund Boards
June 30, 2020The SEC initially provided relief from the in-person voting requirements for fund boards in March 2020, and has now extended that[...]
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News and Alerts
Multi-Billion Dollar Fund Complex Selects Herald Investment Marketing as their Preferred Provider
June 29, 2020Herald Investment Marketing (“HIM”) is pleased to announce that it has recently been selected as the Preferred Provider of Principal[...]
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News and Alerts
Registered Investment Advisors with Retail Investors Must File Form CRS by June 30, 2020
June 10, 2020All SEC Registered Investment Advisors that have retail investors must file a FORM CRS relationship summary no later than June 30,[...]
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News and Alerts
Private Equity Enforcement Action
May 27, 2020On May 26, 2020, Los Angles based private equity firm managing over $100 Billion in RAUM, Ares Management, LLC, agreed[...]
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News and Alerts
New Reg BI FAQs: June 30th Compliance Date
May 12, 2020The SEC’s Staff of the Division of Trading and Markets has released an FAQ to its most frequently asked questions on Regulation Best[...]
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News and Alerts
SEC Releases an FAQ on COVID-19 Efforts
April 27, 2020The FAQ that the SEC released encompasses their efforts and their impacts for firms and funds due to COVID-19. The[...]
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News and Alerts
Questions The SEC is Asking Advisers Amidst COVID-19
April 09, 2020The SEC’s OCIE (Office of Compliance Inspections and Examinations) is doing their best to be fully operational nationwide. They have[...]
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News and Alerts
SEC Provides Temporary Flexibility to Registered Investment Companies
March 25, 2020The Securities and Exchange Commission today announced temporary flexibility for registered funds affected by recent market events to borrow funds[...]
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News and Alerts
Tips for CCOs During COVID-19 Market Stress
March 19, 2020As the Global Pandemic COVID-19’s impact continues to grow there are a few things Investment Managers should consider while keeping[...]
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News and Alerts
ADV Filing and Form PF Requirements Are Extended by the SEC
March 18, 2020On March 13, 2020, the SEC announced they will be providing conditional relief from specific Form PF and Form ADV[...]
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News and Alerts
Vigilant Compliance Update on COVID-19
March 16, 2020As the COVID-19 (“Coronavirus”) situation continues to evolve, the safety of our team members and clients is paramount. Similar to[...]
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News and Alerts
Division Of Investment Management Actively Monitoring Effects Of COVID-19 On Advisors And Funds
March 06, 2020As a result of the current and potential effects of Coronavirus (“COVID-19”), the staff at the Division of Investment Management is[...]
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