Vigilant Insights
Vigilant Insights Rule 6c-11
Vigilant has provided content on Rule 6c-11 for Advisors. Managing Director, Perpetua Seidenberg, CPA, MBA, IACCP provided insights and comments towards the Rule. Below will […]
Read MoreVigilant’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 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
View 2022’s Marketing Rule Priorities On December 22, 2020, the SEC adopted a Modernized Marketing Rule for Investment Advisers. This new rule was a much anticipated […]
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. […]
Read More