News and Alerts

Is Remote Work Not The New Normal?

David Solomon, Goldman Sachs Group Inc. CEO, provided his insights and warnings to remote workers from afar. He wants to make sure that you do […]

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SEC Adopts Modernized Marketing Rule for Investment Advisers

The SEC just released an important announcement today (12/22) stating that it has finalized reforms under the Investment Advisers Act to modernize rules that govern investment […]

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The Unprecedented Future of Working Fully Remote

Are you aware of the Long Term Implications of continued Remote Work? With remote work being the “New Norm”,  the potential long term implications for your […]

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October 2020 Recap

Hello November! In this issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of October and some reminders for the end of the year! (2021 […]

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Compliance Recap: September 2020

In this issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of September and some reminders for the upcoming months. New Rules, Regulations, and Guidance […]

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CyberSecurity Threat Mitigation Checklist

Vigilant is a trusted provider of cybersecurity consulting services. Check out our cybersecurity services to keep your firm protected from cyber-attacks. If you have any […]

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Compliance Recap: August Monthly Newsletter

In the inaugural issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of August and some reminders for the upcoming months. Upcoming […]

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SEC Adopts Amendments to “Accredited Investor” Definition

On August 26th, the SEC made amendments to the “Accredited Investor” definition in attempts to modernize it. The definition is one of the principal tests to determine the eligibility […]

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Vigilant Celebrates 16 Years of Compliance Excellence

Vigilant celebrates 16 successful years in business as of August 15th, 2020. Vigilant was founded by Savatore Faia, JD, CPA, CFE on August 15th, 2004. […]

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OCIE Releases Risk Alert for Broker-Dealers and Investment Advisers

On August 12th, 2020 the OCIE Released a Risk Alert covering COVID-19 Compliance Risks and Considerations for Investment Advisers and Broker-Dealers. The OCIE identified numerous […]

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OCIE Releases Risk Alert for Broker-Dealers and Investment Advisers

On August 12th, 2020 the OCIE Released a Risk Alert covering COVID-19 Compliance Risks and Considerations for Investment Advisers and Broker-Dealers. The OCIE identified numerous […]

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OCIE Cybersecurity Alert: Ransomware Attacks

The Office of Compliance Inspections and Examinations (OCIE) Released a cybersecurity alert on July 10th 2020, to warn financial services market participants and local authorities of recent threats of […]

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