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 9 Investment Advisers on Custody Rule and ADV Violations
September 14, 2022Brief 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, 2022Risk, 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, 2022Vigilant 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, 2022Brief 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, 2022Brief 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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Vigilant Monthly Newsletter – August 2022
September 02, 2022Vigilant Monthly Newsletter In this edition of Vigilant’s Monthly Newsletter for August, we saw a heavy amount of content which[...]
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Compliance Date Reminder | New SEC Rule 2a-5 on Good Faith Determination of Fair Valuation
September 01, 2022Who Does This Rule Apply To? The New SEC Rule 2a-5 of the Investment Company Act of 1940 applies to all Registered Investment[...]
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SEC Investor Alert | Social Media and Investment Fraud
August 31, 2022Brief Introduction On Monday, August 29th, the SEC’s Office of Investor Education and Advocacy sent out an Investor Alert relating to Social Media and[...]
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SEC’s Drafted Strategic Plan for Fiscal Years 2022 to 2026
August 29, 2022Brief Introduction to the Strategic Plan On August 24th, the SEC released a draft of their strategic plan for fiscal years 2022[...]
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Risk Alert Observations from Municipal Advisor Examinations
August 25, 2022Brief Introduction On August 22, 2022, the SEC Division of Examinations (“Division”) released a Risk Alert following up from a prior[...]
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Vigilant’s COO, Chuck Martin, and Manager, Ryan Hurley, Provide Insights Toward the Newly Effective Derivatives Rule
August 24, 2022Brief Introduction Chuck Martin and Ryan Hurley were both quoted on Regulatory Compliance Watch providing their thoughts and insights towards the SEC’s Derivatives[...]
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SEC Emphasizes Importance of Reg BI Adherence
August 17, 2022Brief Introduction On Tuesday, August 2, 2022, the SEC staff released a bulletin emphasizing the importance of adhering to the Investment Advisers Act[...]
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