Risk Alert Archives - Vigilant LLC

SEC Risk Alert | Marketing Rule Compliance

SEC Releases Introduction On the heels of last week’s SEC announcement of 5 RIAs being charged for Marketing Rule Violations, on Wednesday, April 17th, the Division of Examinations (the […]

SEC Releases Risk Alert for Newly Registered Advisers

SEC Releases Brief Introduction The SEC released a Risk Alert on March 27th, related to Newly-Registered Advisers, focusing on what areas are frequently investigated during Examinations and what Compliance Problems […]

SEC Issues Risk Alert Related to Regulation Best Interest

SEC Releases Brief Introduction The SEC’s Regulation Best Interest deadline passed on June 30th, 2020. Under this regulation, there has been an enhancement of the expectations […]

SEC Risk Alert for Identity Theft Under Regulation S-ID

SEC Releases Brief Introduction The SEC published a risk alert on December 5th related to Regulation S-ID after recent Compliance Examinations of Investment Advisers and Broker Dealers. Regulation S-ID […]

Risk Alert “Reminder” | New Marketing Rule

EXAMS Issues Risk Alert on New Investment Adviser Marketing Rule Brief Introduction On Monday, September 19th, the Division of Examinations (“EXAMS”), released a Risk Alert towards upcoming review […]

Risk Alert Observations from Municipal Advisor Examinations

Brief Introduction On August 22, 2022, the SEC Division of Examinations (“Division”) released a Risk Alert following up from a prior Risk Alert in 2017 related […]

RISK ALERT | Investment Adviser MNPI Compliance Issues

Brief Introduction On April 26, 2022, the SEC Division of Examinations (“EXAMS”) noted common deficiencies related to Section 204A and the Code of Ethics Rule […]

Multiple Deficiencies Found Relating to Advisers’ Fee Calculations

SEC Releases | Risk Alert The Division of Examinations (the “Division”) released a Risk Alert yesterday, November 10th, concluding that the Division Staff completed a national initiative that focused […]

Risk Alert | “Division” Examines Advisers Providing Electronic Investment Advice

SEC Releases | Risk Alert on Advisers Providing Electronic Investment Advice The Division of Examinations (the “Division”) released a Risk Alert yesterday, November 9th, with the goal […]