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 | December 2021
January 13, 2022December brought some important SEC Releases and important insights from Vigilant as we ended 2021. Below is a brief overview[...]
Read Article
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[...]
Read Article
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[...]
Read Article
$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[...]
Read Article
$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[...]
Read Article
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[...]
Read Article
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”.[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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,[...]
Read Article
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[...]
Read Article