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.
EXAMS Provides a Risk Alert on their Review of ESG Investing
April 12, 2021On April 9th, 2021 the Division of Examinations (EXAMS) released a Risk Alert on their Review of ESG Investing. Recently,[...]
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Vigilant Insights Rule 6c-11
April 07, 2021Vigilant has provided content on Rule 6c-11 for Advisors. Managing Director, Perpetua Seidenberg, CPA, MBA, IACCP provided insights and comments[...]
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Vigilant Newsletter for March 2021
April 07, 2021As Q1 comes to an end there are lots of important Announcements and Industry Updates! One of the most awaited[...]
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Division of Examinations Provides a Risk Alert Regarding AML Requirements
March 29, 2021On Monday (March 29th, 2021) the Division of Examinations (“EXAMS”) released a Risk Alert regarding examinations they conducted from Broker-Dealers and Mutual Funds[...]
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Expectations from FINRA’s 2021 Report on Examination and Risk Monitoring Programs
March 12, 2021FINRA released its report on Risk Monitoring and Examination Activities which is designed to provide annual insights from FINRA’s ongoing regulatory operations and[...]
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Vigilant February 2021 Recap
March 10, 2021As Spring is rolling in, so are a lot of Announcements and Industry Updates! One of the most awaited updates[...]
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SEC Ad Rule gets an Official Date in Effect for May 4th
March 08, 2021After awaiting an announcement regarding when the Ad Rule will take effect from the delay that was given by the White[...]
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Division of Examinations Announces 2021 Examination Priorities
March 04, 2021The SEC’s Division of Examinations announced its 2021 examination priorities on March 3rd, which highlights a greater focus on climate-related[...]
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Is Remote Work Not The New Normal?
February 25, 2021David Solomon, Goldman Sachs Group Inc. CEO, provided his insights and warnings to remote workers from afar. He wants to[...]
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Vigilant’s 2021 Compliance Calendar
February 23, 2021The Thought Leaders at Vigilant have created a 2021 Compliance Calendar for keeping track of important due dates this year.[...]
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Vigilant’s January Recap Newsletter
February 12, 20212021 started off strong providing everyone with insightful information for the New Year. Vigilant would like to highlight some important[...]
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Vigilant’s Managing Director, Patrick Chism, Provides Insights towards Reg BI Exams
February 09, 2021On February 5th, Financial Planning provided a publication on FINRA expecting to see significant progress in firms compliance policies and procedures[...]
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