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
Mutual Funds + Investment Management Conference
February 07, 2020Conference Details: We are pleased to announce that we will be a Sponsor of the ICI 2020 Mutual Funds and Investment Management Conference in Palm[...]
Read ArticleOCIE Issues Risk Alert
November 16, 2017The Office of Compliance Inspections and Examinations issued a Risk Alert on November 7, 2017. The alert is based on[...]
Read ArticleOCIE Acting Director Offers Compliance Insights
November 14, 2017Peter Driscoll, Acting Director of OCIE (“Office of Compliance Inspections and Examination”), spoke at the GIPS Standards Annual Conference in[...]
Read ArticleASK YOURSELF: Are You Ready for Potential SEC Scrutiny After Harvey?
September 18, 2017When Hurricane Harvey made landfall in Texas on August 25 of this year, and Hurricane Irma reached land in Florida[...]
Read ArticleDOL Calls for Fiduciary Rule Comments, SEC Commissioner Replies
September 07, 2017On July 25, 2017, SEC Commissioner Michael Piwowar offered a response to the Department of Labor’s public request for input about[...]
Read ArticleREMINDER: Changes To Form ADV Go In Effect October 1st
August 31, 2017Back in August 25, 2016, the Securities and Exchange Commission (the “SEC”) adopted rules to modernize and enhance the disclosure requirements[...]
Read ArticleOCIE Risk Alert Observations from Cybersecurity Examinations
August 11, 2017Based on observations and findings from its cybersecurity examinations, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on[...]
Read ArticleVigilant, the Global Compliance Leader, Announces the Opening of its London Office
October 20, 2012October 1, 2012. Vigilant Compliance, LLC Announced today that it has opened a new Office in London, U.K. “This is[...]
Read ArticleVigilant Announces the Opening of its Boston Office
October 20, 2012Vigilant Compliance, LLC announced on October 1, 2012 that it has opened a Boston Office. Vigilant, the largest Outsourced CCO[...]
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