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 to Complete Inspections for Compliance with Regulation Best Interest and Form CRS
April 07, 2020The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released risk alerts regarding examinations for compliance with Regulation Best Interest[...]
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SEC Provides Temporary Flexibility to Registered Investment Companies
March 25, 2020The Securities and Exchange Commission today announced temporary flexibility for registered funds affected by recent market events to borrow funds[...]
Read ArticleSmarsh Currently No Longer Archiving Twitter
March 23, 2020Smarsh recently announced to its clients that they will no longer legally be allowed to Collect Data from an Organization’s Communication on[...]
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Tips for CCOs During COVID-19 Market Stress
March 19, 2020As the Global Pandemic COVID-19’s impact continues to grow there are a few things Investment Managers should consider while keeping[...]
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ADV Filing and Form PF Requirements Are Extended by the SEC
March 18, 2020On March 13, 2020, the SEC announced they will be providing conditional relief from specific Form PF and Form ADV[...]
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Vigilant Compliance Update on COVID-19
March 16, 2020As the COVID-19 (“Coronavirus”) situation continues to evolve, the safety of our team members and clients is paramount. Similar to[...]
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Division Of Investment Management Actively Monitoring Effects Of COVID-19 On Advisors And Funds
March 06, 2020As a result of the current and potential effects of Coronavirus (“COVID-19”), the staff at the Division of Investment Management is[...]
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Salvatore Faia to Speak at the ETF Regulations Readiness Summit
February 11, 2020Update: This event has now passed. Please contact us for similar event recommendations. The ETF Regulations Readiness Summit will take[...]
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Mutual Funds + Investment Management Conference
February 07, 2020Conference Details: We are pleased to announce that we will be a Sponsor of the ICI 2020 Mutual Funds and Investment Management Conference in Palm[...]
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SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity
January 28, 2020The SEC’s Office of Compliance Inspections and Examinations (OCIE) today issued examination observations related to cybersecurity and operational resiliency practices taken by market participants.[...]
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SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
January 08, 2020The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities. OCIE publishes its[...]
Read ArticleFormer Congressman and Two Others Settle Insider Trading Charges
December 09, 2019The Securities and Exchange Commission announced today settlements with former U.S. Rep. Christopher Collins, his son Cameron Collins, and Stephen[...]
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