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.
The Marketing Rule One Year Later
May 17, 2022Brief 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, 2022Brief 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, 2022For 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, 2022Brief 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, 2022Brief 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, 2022Brief Introduction The SEC recently proposed new rules and regulations to increase investor protection in initial public offerings (IPOs) through special[...]
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Vigilant’s Managing Director Quoted In Ignites On Share Class Exams
April 12, 2022Brief Introduction SEC Examination and Enforcement Officials provided a statement that Mutual Fund shops should expect continued scrutiny over their share[...]
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Vigilant Monthly Newsletter | March 2022
April 04, 2022In March, we saw important SEC/FINRA Releases and important insights from Vigilant. Below is a brief overview of what took[...]
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SEC Releases 2022 Examination Priorities
March 31, 2022Brief Introduction to the 2022 Examination Priorities On Wednesday, March 30th, the Division of Examinations (“EXAMS”) released the 2022 Examination Priorities. Vigilant[...]
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SEC Proposes Rules for Climate-Related Disclosures
March 29, 2022Brief Introduction The SEC released proposed rule changes for certain climate-related disclosures on March 21st to provide investors with consistent, comparable, and decision-useful[...]
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FINRA Provides A Reminder Towards CCO Liability
March 22, 2022Brief Introduction to New FINRA Release FINRA released a Regulatory Notice on Friday, March 17th, stating that they consider the role of[...]
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7 Tips to Prevent a Cyber Attack for Advisor Firms and Their Clients
March 16, 2022Brief Introduction FINRA recently released a Cybersecurity Alert to warn Advisor Firms and their clients of potential Russian cyberattacks targeting US organizations.[...]
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