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.
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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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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