Vigilant Announcements
Vigilant Names Top Industry Veteran to Lead Its Broker/Dealer Division
Herald Investment Marketing, a leading provider of Principal Underwriting and Registered Representative Services for Mutual Funds and ETFs, has named John Brett as President. […]
Read MoreTop 5 Common Misconceptions with Compliance
Tips if you are considering overseeing a Compliance Program all by yourself Here are the Top 5 misconceptions with Compliance that you need to know: […]
Read MoreDo I need Expert Support for my Compliance Program or should I Outsource the role of CCO?
Trying to distinguish what the differences are between Outsourcing your CCO and Compliance Support? Below are key highlights of what Outsourcing your CCO encompasses versus […]
Read MoreSmarsh Currently No Longer Archiving Twitter
Smarsh recently announced to its clients that they will no longer legally be allowed to Collect Data from an Organization’s Communication on Twitter. Starting March 20th 2020 at 9am […]
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