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.
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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SEC Adopts Amendments to “Accredited Investor” Definition
August 28, 2020On August 26th, the SEC made amendments to the “Accredited Investor” definition in attempts to modernize it. The definition is one of the[...]
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Vigilant Celebrates 16 Years of Compliance Excellence
August 24, 2020Vigilant celebrates 16 successful years in business as of August 15th, 2020. Vigilant was founded by Savatore Faia, JD, CPA,[...]
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OCIE Releases Risk Alert for Broker-Dealers and Investment Advisers
August 13, 2020On August 12th, 2020 the OCIE Released a Risk Alert covering COVID-19 Compliance Risks and Considerations for Investment Advisers and[...]
Read ArticleOCIE Releases Risk Alert for Broker-Dealers and Investment Advisers
August 12, 2020On August 12th, 2020 the OCIE Released a Risk Alert covering COVID-19 Compliance Risks and Considerations for Investment Advisers and[...]
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Lucia Ends Almost Decade Long Battle with The SEC
July 15, 2020The SEC announced on June 16, 2020 that they have agreed to a Settlement with Raymond J. Lucia, Sr. and[...]
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OCIE Cybersecurity Alert: Ransomware Attacks
July 14, 2020The Office of Compliance Inspections and Examinations (OCIE) Released a cybersecurity alert on July 10th 2020, to warn financial services market participants and[...]
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FREE Resource: ETF Rule 6c-11 Overview
July 13, 2020On September 25, 2019, the SEC adopted new Rule 6c-11 under the Investment Company Act of 1940. This rule will relieve[...]
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SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers
July 02, 2020The SEC announced it has issued an order to update the filing threshold for broker-dealers Form 17-H Filings made pursuant[...]
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