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.
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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Mutual Fund to ETF Conversion
July 22, 2021Mutual Fund to ETF Conversion | Vigilant Insights What steps are you taking in this vital structural decision? According to[...]
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June 2021 Compliance Recap
July 16, 2021Compliance Recap June 2021 | Monthly Newsletter In the month of June there were many important SEC Releases, as well as quite[...]
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Receiving Transaction-Based Compensation? You Must Be Registered As A Broker-Dealer.
July 14, 2021SEC Charges Electronic Trading Platform | SEC Release On June 29th, 2021, the SEC announced that Neovest, Inc. failed to[...]
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SEC Commissioner Provides Updates Towards Climate, ESG, and More
July 07, 2021SEC Release On June 28th, 2021, the 2021 Society for Corporate Governance National Conference took place, where there[...]
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ESG Rules Update from Commissioner Elad L. Roisman
June 29, 2021Vigilant Insights | SEC Release On June 22nd, 2021, the SEC posted a speech regarding ESG Rules and if the SEC[...]
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8 Benefits to Engaging a Compliance Consultant
June 22, 2021Vigilant Insights | How Engaging with a Compliance Consultant can Help YOU! Should I engage a Compliance Consultant? What[...]
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SEC Announces Annual Regulatory Agenda for Spring 2021
June 16, 2021Vigilant Insights On June 11th, 2021, the SEC announced the Spring 2021 Unified Agenda of Regulatory and Deregulatory[...]
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Vigilant Newsletter: May 2021
June 08, 2021For this month’s version of Vigilant’s Newsletter for May there was a high focus on Vigilant and Paul Hastings[...]
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FINRA’s 2021 Annual Conference Remarks
June 03, 20219 Key Takeaways from FINRA’s 2021 Annual Conference On May 20th, 2021 the SEC released remarks at the 2021[...]
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Asset Managers Guide to ESG Investing Webinar: 3 Minute Recap
June 01, 2021Vigilant co-hosted an Asset Manager’s Guide to ESG Investing with Paul Hastings on May 25th, 2021. If you happened to[...]
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