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.
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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Vigilant: November 2020 Compliance Recap
December 01, 2020It’s December Already! In this issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of November and some reminders for the[...]
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The Role of the CCO
November 21, 2020OCIE’s Director Pete Driscoll, yesterday spoke at the SEC’s outreach program, sharing his views of the role of an Adviser’s[...]
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OCIE Risk Alert: Investment Advisor Compliance Programs
November 19, 2020Today, November 19th, 2020, The Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert for Investment Advisor Compliance Programs noting significant[...]
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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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