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.
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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Information on ETF Rule 6c-11 – PDF Download
June 18, 2020Fill 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, 2020All 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, 2020The SEC recently announced that they awarded the single largest individual reward ever – a $50 million whistleblower award to an individual[...]
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Private Equity Enforcement Action
May 27, 2020On May 26, 2020, Los Angles based private equity firm managing over $100 Billion in RAUM, Ares Management, LLC, agreed[...]
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FINRA Announces Fraudulent Email Phishing Campaign
May 22, 2020Recently the Financial Industry Regulatory Authority (FINRA) announced that there are fraudulent email campaigns going around purportedly from them. These emails are[...]
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