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.
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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Vigilant Celebrates 17 Years of Compliance Excellence
August 17, 2021Vigilant Announcements Vigilant celebrates 17 successful years in business as of August 15th, 2021. Vigilant was founded by[...]
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FINRA Cites MSRB Rule G-13 in Action Against Broker Dealer
August 12, 2021Whitepapers | FINRA One of Vigilant’s Directors, Deane Armstrong, created a Whitepaper discussing issues raised by the recent FINRA[...]
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July 2021 Recap
August 03, 2021July 2021 Recap| Monthly Newsletters In the month of July there were many important SEC Releases and Risk Alerts, as well some insights[...]
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Division of Examinations Releases Risk Alert about Examining Investment Advisers that Manage Client Accounts Participating in Wrap Fee Programs
July 28, 2021Division of Examinations Releases Risk Alert about Examining Investment Advisers that Manage Client Accounts Participating in Wrap Fee Programs |[...]
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Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades
July 23, 2021Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades | Risk Alerts On July[...]
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