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’s Managing Director Quoted In Ignites On Share Class Exams

April 12, 2022

Brief Introduction SEC Examination and Enforcement Officials provided a statement that Mutual Fund shops should expect continued scrutiny over their share[...]

Read Article

Vigilant Monthly Newsletter | March 2022

April 04, 2022

In March, we saw important SEC/FINRA Releases and important insights from Vigilant. Below is a brief overview of what took[...]

Read Article

SEC Releases 2022 Examination Priorities

March 31, 2022

Brief Introduction to the 2022 Examination Priorities On Wednesday, March 30th, the Division of Examinations (“EXAMS”) released the 2022 Examination Priorities. Vigilant[...]

Read Article

SEC Proposes Rules for Climate-Related Disclosures

March 29, 2022

Brief Introduction The SEC released proposed rule changes for certain climate-related disclosures on March 21st to provide investors with consistent, comparable, and decision-useful[...]

Read Article

FINRA Provides A Reminder Towards CCO Liability

March 22, 2022

Brief Introduction to New FINRA Release FINRA released a Regulatory Notice on Friday, March 17th, stating that they consider the role of[...]

Read Article

7 Tips to Prevent a Cyber Attack for Advisor Firms and Their Clients

March 16, 2022

Brief Introduction FINRA recently released a Cybersecurity Alert to warn Advisor Firms and their clients of potential Russian cyberattacks targeting US organizations.[...]

Read Article

Vigilant Monthly Newsletter | February 2022

March 01, 2022

In February, we saw important SEC Releases and important insights from Vigilant. Below is a brief overview of what took[...]

Read Article

SEC Proposes Multiple Rule Changes to Protect Investors

February 28, 2022

Brief Introduction On Friday, February 25th, the SEC announced the release of proposed Rule changes to Short Sale Disclosures, Order Making Requirements,[...]

Read Article

Vigilant Marketing Rule Survey Results

February 25, 2022

Marketing Rule Industry Results Thank you to everyone that took the time to fill out our Marketing Rule Survey! Below[...]

Read Article

SEC Proposes First Cyber Rule for RIAs and Funds

February 09, 2022

Brief Introduction On Wednesday, February 9th, the SEC released their Proposed Rule on Cybersecurity Risk Management and Amendments for Registered Investment[...]

Read Article

Vigilant Monthly Newsletter | January 2022

February 03, 2022

In January, we saw important Risk Alerts, SEC Staff Releases, and important insights from Vigilant. Below is a brief overview[...]

Read Article

Vigilant’s 2022 Compliance Calendar

February 01, 2022

As you continue to prepare for the year ahead, be sure to check out Vigilant’s 2022 Regulatory Filings Calendar, which includes Filing[...]

Read Article