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.

 

Vigilant Monthly Newsletter | May 2022

June 10, 2022

For May’s version of Vigilant’s Monthly Newsletter, we saw an important SEC Proposed Rule, SEC Releases, and important insights from[...]

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5 Current Trends in Compliance

June 09, 2022

Brief Introduction to the Trends in Compliance As we get closer to Q3, we have seen a lot of forecasted[...]

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SEC’s First-Ever Enforcement Proceeding Under Section 11 Of The Investment Company Act Of 1940

June 02, 2022

Brief Introduction Last week, the SEC’s first-ever enforcement proceeding under Section 11 of the Investment Company Act of 1940 occurred for improper switching[...]

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SEC Proposes New Rule Towards ESG Investment Practices

May 27, 2022

Brief Introduction On Wednesday, May 25th, the SEC released Proposed ESG Related Amendments for Funds and Advisers. Who Does This Apply[...]

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EXAMS Issues Reminder For The Marketing Rule Compliance Date

May 25, 2022

Brief Introduction On Monday, May 23rd, the Division of Examinations (“EXAMS”), sent out an email reminder to all SEC RIAs reminding them[...]

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2021 SEC Examination Priorities vs. 2022 SEC Examination Priorities

May 19, 2022

Brief Introduction to the 2022 SEC Examination Priorities With the release of the 2022 SEC Examination Priorities at the end[...]

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The Marketing Rule One Year Later

May 17, 2022

Brief Introduction to the SEC’s Marketing Rule Priorities in 2022 With the SEC Marketing Rule becoming effective November 4th, 2022,[...]

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SEC Fines RIA $760k+ Over Wrap Fees

May 05, 2022

Brief Introduction | SEC Fines RIA $760k+ Over Wrap Fees Recently, the SEC fined an RIA Firm over $760,000+ over Wrap[...]

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Vigilant Monthly Newsletter | April 2022

May 02, 2022

For April’s version of Vigilant’s Monthly Newsletter, we saw important SEC Proposed Rules, Risk Alerts, and important insights from Vigilant.[...]

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RISK ALERT | Investment Adviser MNPI Compliance Issues

April 26, 2022

Brief Introduction On April 26, 2022, the SEC Division of Examinations (“EXAMS”) noted common deficiencies related to Section 204A and[...]

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Vigilant’s COO, Chuck Martin, Quoted In BoardIQ On 2022 Exam Priorities

April 25, 2022

Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, was quoted in BoardIQ where he discussed his initial thoughts and analysis[...]

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SEC Proposes Rules Towards SPACs, Shell Companies, and Projections

April 21, 2022

Brief Introduction The SEC recently proposed new rules and regulations to increase investor protection in initial public offerings (IPOs) through special[...]

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