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.
“Do It Yourself” Compliance | 5 Unintended Outcomes
September 27, 2022Brief Introduction Many firms underestimate the importance of a designated compliance team supporting their business. A common theme we have seen throughout[...]
Read Article
SEC Hosting A Compliance Outreach Program Seminar On Nov. 15
September 23, 2022SEC Compliance Outreach Program National Seminar The SEC recently announced the date for their Compliance Outreach Program National Seminar which will be[...]
Read Article
SEC Charges $35 Million Over Failures to Protect “PII”
September 21, 2022SEC Charges $35 Million Over Failures to Protect “PII” Brief Introduction On September 20th, the SEC charged a well known Firm[...]
Read Article
Risk Alert “Reminder” | New Marketing Rule
September 20, 2022EXAMS Issues Risk Alert on New Investment Adviser Marketing Rule Brief Introduction On Monday, September 19th, the Division of Examinations (“EXAMS”),[...]
Read Article
Vigilant Shortlisted As Best Regulatory & Compliance Firm
September 16, 2022Vigilant Shortlisted as Best Regulatory & Compliance Firm Vigilant is thrilled to announce that we have been shortlisted for our third award[...]
Read Article
Vigilant Shortlisted As Best Regulatory Advisory & Compliance Firm
September 15, 2022Vigilant Nominated as Best Regulatory Advisory & Compliance Firm Vigilant is thrilled to announce that we have been shortlisted as the Best Regulatory Advisory[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article