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.
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[...]
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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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SEC Extends Relief for Virtual Meetings of Fund Boards
June 30, 2020The SEC initially provided relief from the in-person voting requirements for fund boards in March 2020, and has now extended that[...]
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Multi-Billion Dollar Fund Complex Selects Herald Investment Marketing as their Preferred Provider
June 29, 2020Herald Investment Marketing (“HIM”) is pleased to announce that it has recently been selected as the Preferred Provider of Principal[...]
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Private Fund Adviser and Investor OCIE Risk Alert
June 24, 2020The OCIE, Office of Compliance Inspections and Examinations, released a Risk Alert concerning examinations of RIA’s that manage private equity[...]
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LIBOR Transition Preparedness
June 23, 2020The OCIE announced the transition away from LIBOR as an examination program priority for FY 2020. LIBOR is formally known as the[...]
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