Vigilant Insights
2021 SEC Examination Priorities vs. 2022 SEC Examination Priorities
Brief Introduction to the 2022 SEC Examination Priorities With the release of the 2022 SEC Examination Priorities at the end of March, it is valuable […]
Read MoreThe Marketing Rule One Year Later
Brief Introduction to the SEC’s Marketing Rule Priorities in 2022 With the SEC Marketing Rule becoming effective November 4th, 2022, it is important to revisit […]
Read MoreVigilant’s COO, Chuck Martin, Quoted In BoardIQ On 2022 Exam Priorities
Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, was quoted in BoardIQ where he discussed his initial thoughts and analysis towards the 2022 Exam Priorities. […]
Read More7 Tips to Prevent a Cyber Attack for Advisor Firms and Their Clients
Brief Introduction FINRA recently released a Cybersecurity Alert to warn Advisor Firms and their clients of potential Russian cyberattacks targeting US organizations. Preventing a Cyber Attack is […]
Read MoreVigilant Marketing Rule Survey Results
Marketing Rule Industry Results Thank you to everyone that took the time to fill out our Marketing Rule Survey! Below are Key Takeaways from the Results we […]
Read MoreVigilant’s 2022 Compliance Calendar
As you continue to prepare for the year ahead, be sure to check out Vigilant’s 2022 Regulatory Filings Calendar, which includes Filing Deadlines, Compliance Dates, and more. […]
Read More70% of Compliance Functions are Under Resourced | Vigilant Insights
The National Society of Compliance Professionals (NSCP) has proposed a Chief Compliance Officer liability framework that focuses more on organizational support and resources. They have conducted multiple industry […]
Read More6 Effective Compliance Strategies for 2022 | Vigilant Insights
With new Rules and Regulations taking effect this year like the new Marketing Rule, Derivatives Rule, and more, it is important develop an effective Compliance Strategy to comply […]
Read More5 Ways Vigilant Can Help You Start 2022 Strong | Vigilant Insights
5 Ways Vigilant can Help You Start 2022 Strong | Vigilant Insights As we transition into the new year, it is important to have a strong […]
Read MoreStaying Ahead in 2022 | How to be Prepared
Establish A Plan Of Action For 2022 | Vigilant Insights Preparing for 2022 With the new year rapidly approaching, it is important (as life […]
Read MoreStruggling to keep up with Compliance?
Vigilant Insights You are not alone Do you find that your day is filled with “putting out fires” ? Is there not enough time to […]
Read MoreMutual 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 […]
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