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.

 

OCIE Cybersecurity Alert: Ransomware Attacks

July 14, 2020

The 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, 2020

On 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, 2020

The 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, 2020

The 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, 2020

Herald 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, 2020

The 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, 2020

The 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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Information on ETF Rule 6c-11 – PDF Download

June 18, 2020

Fill out the form below to download and learn about the key areas of the new ETF Rule 6c-11

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Registered Investment Advisors with Retail Investors Must File Form CRS by June 30, 2020

June 10, 2020

All SEC Registered Investment Advisors that have retail investors must file a FORM CRS relationship summary no later than June 30,[...]

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SEC Whistleblower Payouts and What It Means for You

June 08, 2020

The SEC recently announced that they awarded the single largest individual reward ever – a $50 million whistleblower award to an individual[...]

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SEC DEFICIENCIES NOTED BY THE SEC

June 05, 2020

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Private Equity Enforcement Action

May 27, 2020

On May 26, 2020, Los Angles based private equity firm managing over $100 Billion in RAUM, Ares Management, LLC, agreed[...]

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