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$400k 18f-4 Fine for ETF Compliance Failures
SEC Releases Introduction The SEC charged a $14 Billion RIA with multiple ETFs $400,000 for multiple violations of the Investment Company Act of 1940, including […]
Read MoreVigilant Shortlisted for ETF Compliance Award
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following Award below by ETF Express for their 2025 US Awards. Best ETF Regulatory/Compliance Adviser Vote […]
Read MoreVigilant Shortlisted for ETF Compliance and Distributor Awards
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following awards below by ETF Express for their 2024 US ETF Awards. Vigilant Distributors, […]
Read MoreVigilant Shortlisted as Best ETF Regulatory/Compliance Adviser
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best ETF Regulatory/Compliance Adviser for the ETF Express US ETF Awards 2023. Place Your Votes […]
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