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 Monthly Newsletter – August 2022

September 02, 2022

Vigilant 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, 2022

Who 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, 2022

Brief 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, 2022

Brief 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, 2022

Brief 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, 2022

Brief 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, 2022

Brief 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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Vigilant Celebrates 18 Years of Compliance Excellence

August 15, 2022

Vigilant Thanks You For Your Support Over The Past 18 Years! Vigilant celebrates 18 successful years in business Today, August 15th, 2022. Vigilant was[...]

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SEC Proposed Form PF Amendments to Enhance Private Fund Reporting

August 11, 2022

Brief Introduction On August 10th, the SEC proposed amendments to Form PF which would enhance private fund reporting. Specifically, these amendments would strengthen the SEC’s investor protection[...]

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Vigilant’s COO, Chuck Martin, Presented on the Marketing Rule at the 2022 PMAR Conference

August 09, 2022

At this year’s 2022 PMAR Conference hosted by The Spaulding Group, Vigilant’s Chief Operating Officer, Chuck Martin, and K&L Gates Of Council, Pamela Grossetti,[...]

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Vigilant Monthly Newsletter – July 2022

August 04, 2022

In July, we saw important SEC Releases, SEC Charges, and important insights from Vigilant. Below is a brief overview of[...]

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SEC Charges Firms for Deficiencies in Customer Identity Theft Prevention

August 01, 2022

Brief Introduction On July 27th, the SEC charged two large Investment Banks and a Broker-Dealer for deficiencies in their programs to prevent[...]

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