Vigilant Insights
Vigilant’s 2021 Compliance Calendar
The Thought Leaders at Vigilant have created a 2021 Compliance Calendar for keeping track of important due dates this year. This content piece is helpful […]
Read MoreVigilant’s Director, Justin Dausch, Provides Insights towards the Ad Rule and its effect on Social Media
On February 22nd, Ignites provided a publication on the Ad Rule and how it may push shops to ban social media. Professionals are saying that fund shops […]
Read MoreVigilant’s Managing Director, Patrick Chism, Provides Insights towards Reg BI Exams
On February 5th, Financial Planning provided a publication on FINRA expecting to see significant progress in firms compliance policies and procedures around Regulation Best Interest. They […]
Read MoreVigilant’s Guidance on the New SEC Marketing Rule
On December 22, 2020, the SEC adopted a Modernized Marketing Rule for Investment Advisers. This new rule was a much anticipated update, as it will bring […]
Read MoreVigilant’s COO, Chuck Martin, Provides Insights Towards the New Advertising Rule
Last week we saw the SEC unanimously pass the Advertising Rule for Investment Advisers as well as a rule that governs payments to solicitors. To […]
Read More5 Ways Vigilant can Help YOU Gain a Competitive Advantage in 2021.
With unprecedented uncertainty heading into 2021 it is important to have a strong Compliance program and gain a competitive advantage heading into the new year. […]
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