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 Names Top Industry Veteran to Lead Its Broker/Dealer Division
November 11, 2020Herald Investment Marketing, a leading provider of Principal Underwriting and Registered Representative Services for Mutual Funds and ETFs, has named[...]
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OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices
November 09, 2020The Office of Compliance Inspections and Examinations (OCIE) conducted examinations focusing on SEC-registered investment advisers operating from multiple branch offices and with[...]
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The Unprecedented Future of Working Fully Remote
November 05, 2020Are you aware of the Long Term Implications of continued Remote Work? With remote work being the “New Norm”, the potential[...]
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October 2020 Recap
November 03, 2020Hello November! In this issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of October and some reminders for the[...]
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How to Define the Parameters of Personal Liability for Compliance Officers
October 27, 2020Due to the impact of COVID-19 it has created an increasingly difficult regulatory environment with complications for Compliance Professionals. Throughout this[...]
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Top 5 Common Misconceptions with Compliance
October 15, 2020Tips if you are considering overseeing a Compliance Program all by yourself Here are the Top 5 misconceptions with Compliance[...]
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Do I need Expert Support for my Compliance Program or should I Outsource the role of CCO?
October 13, 2020Trying to distinguish what the differences are between Outsourcing your CCO and Compliance Support? Below are key highlights of what[...]
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SEC Proposed Exemption from Broker-Dealer Registration for Finders
October 08, 2020On October 7th, the SEC released a public statement stating that the Commission has proposed to create a new exemption that will permit individuals[...]
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Regulatory Framework for Fund of Funds Arrangements is Updated by the SEC
October 07, 2020Starting today on October 7th, the Securities and Exchange Commission voted to adopt a new rule and related amendments to facilitate[...]
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Compliance Recap: September 2020
October 01, 2020In this issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of September and some reminders for the upcoming months.[...]
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CyberSecurity Threat Mitigation Checklist
September 18, 2020Vigilant is a trusted provider of cybersecurity consulting services. Check out our cybersecurity services to keep your firm protected from[...]
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Compliance Recap: August Monthly Newsletter
September 01, 2020In the inaugural issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of August and some reminders[...]
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