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.
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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September 2021 Recap | Vigilant Monthly Newsletter
October 08, 2021Vigilant Newsletter | September 2021 In Case You Missed It: Due to the overwhelming demand for our New[...]
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SEC May Potentially Forbid Trading for 270 China-Related Companies by Early 2024
September 17, 2021SEC Release | SEC Chairman, Gary Gensler Insights On September 13th, 2021, SEC Chairman, Gary Gensler, stated that the SEC may need[...]
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Speaker Spotlight -Michael McGrath, Esq., CFA, on the New SEC Marketing Rule Webinar
September 16, 2021In preparation for our Webinar “Perspectives on Implementing the New SEC Marketing Rule” on October 6th, @ 12-1:30pm, we are highlighting[...]
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Perspectives on Implementing the New SEC Marketing Rule Webinar
September 15, 2021Unique from other Marketing Rule Webinars you may have attended, this Webinar will provide you with the necessary information to[...]
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August 2021 Recap | Vigilant Newsletter
September 08, 2021Vigilant Newsletter | August 2021 Compliance Recap In the month of August there were many important SEC Releases, as[...]
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10 THINGS EVERY BROKER-DEALER NEEDS TO KNOW ABOUT FINRA RULE 2210
August 31, 2021FINRA Rule 2210 is a comprehensive regulation governing the approval, review and recordkeeping of a broker-dealer’s communications and correspondences. It also[...]
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SEC Charges 8 Firms for Failures in Their Cybersecurity Policies and Procedures
August 30, 2021SEC Release | Cybersecurity On August 30th, 2021, the SEC announced that they have charged eight firms in three actions[...]
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SEC Charges Investment Adviser and its Associated Individuals for Violating Regulation SHO
August 24, 2021SEC Releases | SEC Enforcement Action On August 17th, 2021, the SEC announced that they charged an Investment Adviser and[...]
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SEC Issues $1 Million Fine Regarding a Cyber Breach for Mislead Investors
August 18, 2021SEC Releases | Cybersecurity On August 16th, 2021, the SEC announced that they charged a London-based public company with[...]
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