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 Insights
Outsourced Compliance Considerations | Chuck Martin Insights
July 02, 2024Vigilant Insights Introduction As Firms continue to commit more time and resources to compliance, many choose to partner with compliance[...]
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Vigilant Insights
Compliance Risks from Political Contributions | Donna DiMaria Insights
June 25, 2024VIGILANT INSIGHTS Introduction The Pay-To-Play Rule for Investment Advisors provides on-going compliance difficulties for Firms, especially in an election year.[...]
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Firms Struggling with the Marketing Rule | Will Clark Insights
June 24, 2024VIGILANT INSIGHTS Introduction As the SEC investigates and charges Firms for Marketing Rule violations, it has been reported that Private[...]
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Dangers of Social Media Influencers | Thayne Gould Reacts
May 10, 2024VIGILANT INSIGHTS Introduction As the Marketing Rule continues to be a major topic for enforcement in 2024, it would be[...]
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Vigilant Insights
SEC Marketing Rule Risk Alert | Thayne Gould Reacts
April 23, 2024Vigilant Insights Introduction The SEC has sent out its third risk alert related to the Marketing Rule. With the most recent enforcement activity occurring this[...]
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Fiduciary Duty and FINRA Enforcement | Patrick Chism Insights
April 22, 2024Vigilant Insights Introduction Vigilant Managing Director, Patrick Chism, was quoted in a recent Ignites article related to the FINRA investigation of a Firm for[...]
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Misleading AI Statements | Fred Teufel Reacts
April 11, 2024Vigilant Insights Introduction The SEC announced last month that two (2) Investment Advisers were charged $400,000 for misleading statements related[...]
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Importance of a Strong Culture of Compliance | Chelsea Bosiljevac Insights
February 15, 2024Vigilant Insights Introduction The most recent SEC enforcement involving recordkeeping and off-channel communications reinforces our opinion that there will be no slowing down for the Agency when[...]
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Vigilant 2024 Compliance Calendar | Download Here
January 29, 2024Vigilant Insights Introduction As you continue to prepare for the new year, be sure to check out Vigilant’s 2024 Regulatory Filings Calendar, which[...]
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A Partnership Driven Compliance Provider | Vigilant
January 24, 2024Vigilant Insights Introduction With Vigilant’s recent Award Win as Best Regulatory Advisory & Compliance Firm by Institutional Asset Manager (“IAM”), we dove deeper into why[...]
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Vigilant Insights
Potential 2024 SEC Rule Adoptions
January 20, 2024Vigilant Insights Introduction With the Fiscal Year 2024 well underway, following two years of record-breaking enforcement numbers from the SEC, it is[...]
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Vigilant Insights
7 Effective Compliance Strategies for 2024
January 16, 2024Establish a Plan of Action for 2024 Preparing for 2024 With the new year in effect, it is important to have a strong[...]
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