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 | February 2022
March 01, 2022In February, we saw important SEC Releases and important insights from Vigilant. Below is a brief overview of what took[...]
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SEC Proposes Multiple Rule Changes to Protect Investors
February 28, 2022Brief Introduction On Friday, February 25th, the SEC announced the release of proposed Rule changes to Short Sale Disclosures, Order Making Requirements,[...]
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Vigilant Marketing Rule Survey Results
February 25, 2022Marketing Rule Industry Results Thank you to everyone that took the time to fill out our Marketing Rule Survey! Below[...]
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SEC Proposes First Cyber Rule for RIAs and Funds
February 09, 2022Brief Introduction On Wednesday, February 9th, the SEC released their Proposed Rule on Cybersecurity Risk Management and Amendments for Registered Investment[...]
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Vigilant Monthly Newsletter | January 2022
February 03, 2022In January, we saw important Risk Alerts, SEC Staff Releases, and important insights from Vigilant. Below is a brief overview[...]
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Vigilant’s 2022 Compliance Calendar
February 01, 2022As you continue to prepare for the year ahead, be sure to check out Vigilant’s 2022 Regulatory Filings Calendar, which includes Filing[...]
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Private Fund Adviser Deficiencies | EXAMS Risk Alert
January 28, 2022On Thursday, January 27th, the Division of Examinations (“EXAMS”) released a risk alert on their observations from examining Private Fund Advisers. There were 4[...]
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Proposing to Amend Form PF | SEC Release
January 27, 2022On Wednesday, January 26th, the SEC announced that they voted on proposed amendments to enhance Private Fund Reporting. The goal of these proposed[...]
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SEC Chairman Update On Cybersecurity And Securities Laws
January 24, 2022On Monday, January 24th, SEC Chairman, Gary Gensler, released a speech relating to Cybersecurity and Securities Laws. There were multiple areas focused on relating[...]
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70% of Compliance Functions are Under Resourced | Vigilant Insights
January 20, 2022The National Society of Compliance Professionals (NSCP) has proposed a Chief Compliance Officer liability framework that focuses more on organizational support and[...]
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6 Effective Compliance Strategies for 2022 | Vigilant Insights
January 19, 2022With new Rules and Regulations taking effect this year like the new Marketing Rule, Derivatives Rule, and more, it is important develop[...]
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Vigilant Monthly Newsletter | December 2021
January 13, 2022December brought some important SEC Releases and important insights from Vigilant as we ended 2021. Below is a brief overview[...]
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