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 | January 2022
February 03, 2022In January, we saw important Risk Alerts, SEC Staff Releases, and important insights from Vigilant. Below is a brief overview[...]
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Vigilant’s 2022 Compliance Calendar
February 01, 2022As you continue to prepare for the year ahead, be sure to check out Vigilant’s 2022 Regulatory Filings Calendar, which includes Filing[...]
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Private Fund Adviser Deficiencies | EXAMS Risk Alert
January 28, 2022On Thursday, January 27th, the Division of Examinations (“EXAMS”) released a risk alert on their observations from examining Private Fund Advisers. There were 4[...]
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Proposing to Amend Form PF | SEC Release
January 27, 2022On Wednesday, January 26th, the SEC announced that they voted on proposed amendments to enhance Private Fund Reporting. The goal of these proposed[...]
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SEC Chairman Update On Cybersecurity And Securities Laws
January 24, 2022On Monday, January 24th, SEC Chairman, Gary Gensler, released a speech relating to Cybersecurity and Securities Laws. There were multiple areas focused on relating[...]
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70% of Compliance Functions are Under Resourced | Vigilant Insights
January 20, 2022The National Society of Compliance Professionals (NSCP) has proposed a Chief Compliance Officer liability framework that focuses more on organizational support and[...]
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6 Effective Compliance Strategies for 2022 | Vigilant Insights
January 19, 2022With new Rules and Regulations taking effect this year like the new Marketing Rule, Derivatives Rule, and more, it is important develop[...]
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Vigilant Monthly Newsletter | December 2021
January 13, 2022December brought some important SEC Releases and important insights from Vigilant as we ended 2021. Below is a brief overview[...]
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Staff Statement Regarding Form CRS Disclosures for 2022
January 06, 2022Staff Statement Regarding Form CRS Disclosures for 2022 | SEC Releases As the new year begins, the SEC released a statement regarding[...]
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5 Ways Vigilant Can Help You Start 2022 Strong | Vigilant Insights
December 30, 20215 Ways Vigilant can Help You Start 2022 Strong | Vigilant Insights As we transition into the new year, it is[...]
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$4.5 Million Fine for Fee and Expense Disclosures | SEC Releases
December 23, 2021Fee and Expense Disclosure Failures | SEC Releases On Monday, December 20th, the SEC released an Order announcing that they charged an RIA[...]
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$200 Million Fine Over Employee Text Messages | News & Alerts
December 14, 2021News & Alerts According to a Wall Street Journal article written on Monday, December 13th, a well known Investment Banking[...]
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