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 […]

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Vigilant’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 […]

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Vigilant’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 […]

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Vigilant’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 […]

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Vigilant’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 […]

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5 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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