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.
Vigilant: A Full-Service Investment Management Solutions Firm
February 03, 2021Today’s the day! We have some exciting news to share, and now we are here to unveil it. Click the[...]
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White House – Effect on New Marketing Rule
January 29, 2021Last week, the White House released an important announcement stating that there will be a 60 Day Delay on new rules that have not taken[...]
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Vigilant’s Guidance on the New SEC Marketing Rule
January 27, 2021View 2022’s Marketing Rule Priorities On December 22, 2020, the SEC adopted a Modernized Marketing Rule for Investment Advisers. This new[...]
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Vigilant’s Important Announcement for the New Year!
January 21, 2021In less than 2 weeks Vigilant has some very exciting news to unveil! This news is based off of the growth[...]
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Division of Examinations Addressed the Threat from Securities Associated with Chinese Military Companies
January 08, 2021The Division of Examinations (formerly known as OCIE) released a Risk Alert on Wednesday (1/6/21) notifying Investment Advisers, Broker-Dealers, and other[...]
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Compliance Recap: December 2020
January 05, 2021As 2020 comes to an end, we would like to highlight some important takeaways from the month of December and[...]
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Vigilant’s COO, Chuck Martin, Provides Insights Towards the New Advertising Rule
December 29, 2020Last week we saw the SEC unanimously pass the Advertising Rule for Investment Advisers as well as a rule that[...]
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SEC Adopts Modernized Marketing Rule for Investment Advisers
December 22, 2020The SEC just released an important announcement today (12/22) stating that it has finalized reforms under the Investment Advisers Act to[...]
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SEC Risk Alert: OCIE Examines Broker-Dealers And Investment Advisers
December 18, 2020The SEC came out with a Risk Alert yesterday (12/17) regarding Observations from Examinations of Broker-Dealers and Investment Advisers (Large Trader Obligations). Here[...]
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5 Ways Vigilant can Help YOU Gain a Competitive Advantage in 2021.
December 17, 2020With unprecedented uncertainty heading into 2021 it is important to have a strong Compliance program and gain a competitive advantage[...]
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Vigilant Nomination for Best Compliance Advisory Firm
December 14, 2020Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance Advisory Firm for the Fund Intelligence Operations & Services Awards[...]
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Framework For Fund Valuation Practices: Rule 2a-5
December 03, 2020The SEC made an announcement today (12/03) stating that they have adopted a new rule (2a-5) that establishes an updated[...]
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