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.
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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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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