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 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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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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