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.
$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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Vigilant Nominated for Best Compliance Advisory Firm | 2022
December 06, 2021Vigilant Announcements | 2022 Best Compliance Advisory Firm Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance Advisory[...]
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Important Items You May Have Missed In November
December 02, 2021Vigilant Newsletter | November 2021 November brought some important Risk Alerts and important insights from Vigilant on “Preparing for 2022”.[...]
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Staying Ahead in 2022 | How to be Prepared
November 18, 2021Establish A Plan Of Action For 2022 | Vigilant Insights Preparing for 2022 With the new year rapidly[...]
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Multiple Deficiencies Found Relating to Advisers’ Fee Calculations
November 11, 2021SEC Releases | Risk Alert The Division of Examinations (the “Division”) released a Risk Alert yesterday, November 10th, concluding that the Division[...]
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Vigilant Thanks All Our Country’s Veterans This November 11th
November 11, 2021Happy Veterans Day from Vigilant | We Thank Those who Served on Veterans Day Vigilant would like to wish everyone[...]
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Risk Alert | “Division” Examines Advisers Providing Electronic Investment Advice
November 10, 2021SEC Releases | Risk Alert on Advisers Providing Electronic Investment Advice The Division of Examinations (the “Division”) released a Risk Alert yesterday,[...]
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October 2021 Recap | Vigilant Monthly Newsletter
November 02, 2021Vigilant Newsletter | October 2021 October brought some important insights from the thought leaders at Vigilant, our Marketing Rule[...]
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Risk Alert | RIC Initiatives Examined by the “Division”
October 26, 2021Observations from Examinations in the Registered Investment Company Initiatives October 26, 2021 Summary: Focus: The SEC examined more than[...]
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Struggling to keep up with Compliance?
October 25, 2021Vigilant Insights You are not alone Do you find that your day is filled with “putting out fires”[...]
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SEC RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act
October 14, 2021SEC Releases | RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act Regal Investment[...]
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