Vigilant Insights Archives - Page 14 of 14

Mutual Fund to ETF Conversion

Mutual Fund to ETF Conversion | Vigilant Insights What steps are you taking in this vital structural decision? According to ETF.com, there has been $900 billion […]

8 Benefits to Engaging a Compliance Consultant

Vigilant Insights | How Engaging with a Compliance Consultant can Help YOU! Should I engage a Compliance Consultant? What are the benefits of a […]

S&P Dow Jones Indices Gets Charged with Failures Relating to Volatility-Related Index

On May 17th, 2021, the SEC settled charges with S&P Dow Jones Indices for Failures Relating to Volatility-Related Index for which they agreed to a cease-and-desist order […]

Vigilant’s Snap Shot and Guidance on the SEC Marketing Rule

As the SEC Marketing Rule’s Effective Date approaches on May 4th (Compliance Date is November 22nd, 2022), it is important to have a strong understanding of what […]

5 Forecasted Trends in Compliance after Q1

We’ve Compared 2022 vs. 2021 Priorities Here As Q1 comes to an end, we have seen a lot of forecasted trends for 2021 already […]

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 […]

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 […]

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 […]

Vigilant’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 […]

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 […]

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. […]