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.
Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs
August 16, 2019 Read ArticleSEC Charges Former CFO of Cash Advance Company With Defrauding Thousands of Retail Investors
August 15, 2019 Read ArticleSEC Releases Videos for Investors on Choosing and Working with a Financial Professional
August 15, 2019 Read ArticleSEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors
August 14, 2019 Read ArticleSEC Obtains Freeze of $8 Million in Assets in Alleged Fraudulent Token Offering and Manipulation Scheme
August 13, 2019 Read Article
How to Prepare for an SEC Examination
August 12, 2019No matter how smoothly your firm operates or how diligent your compliance team is, the prospect of an SEC examination[...]
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The Impact of GDPR on the Asset and Wealth-Management Industry
August 12, 2019Regarded as the largest data regulation act in modern European history, the General Data Protection Regulation (GDPR) has taken the[...]
Read ArticleWhy Is Cybersecurity Important for Investment Advisers?
August 12, 2019Cybersecurity remains vital for investment advisers. As new cyber threats are identified, cybersecurity will remain paramount for these advisers both[...]
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Guide to SEC Investment Adviser Registration
August 12, 2019Becoming a registered investment advisor (RIA) is not merely an industry best-practice. In most cases, it’s a regulatory obligation that[...]
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