Blog

Vigilant’s COO, Chuck Martin, Presented on the Marketing Rule at the 2022 PMAR Conference

At this year’s 2022 PMAR Conference hosted by The Spaulding Group, Vigilant’s Chief Operating Officer, Chuck Martin, and K&L Gates Of Council, Pamela Grossetti, presented on the marketing rule […]

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5 Common ESG Deficiencies Found From SEC Examinations

5 Common ESG Deficiencies Found From SEC Examinations Vigilant has seen 5 common ESG Deficiencies found during SEC examinations below: Failure to address the review […]

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Industry Pushback Toward SEC’s Proposed Rules on Climate Related Disclosures

Brief Introduction On March 21st, the SEC released proposed rule changes for certain climate-related disclosures to provide investors with consistent, comparable, and decision-useful information for making their investment […]

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5 Current Trends in Compliance

Brief Introduction to the Trends in Compliance As we get closer to Q3, we have seen a lot of forecasted trends for 2022 already taking […]

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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 […]

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The 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 […]

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Vigilant’s Managing Director Quoted In Ignites On Share Class Exams

Brief Introduction SEC Examination and Enforcement Officials provided a statement that Mutual Fund shops should expect continued scrutiny over their share class selection and disclosure. The SEC […]

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Vigilant Monthly Newsletter | March 2022

In March, we saw important SEC/FINRA Releases and important insights from Vigilant. Below is a brief overview of what took place in the month of […]

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FINRA Provides A Reminder Towards CCO Liability

Brief Introduction to New FINRA Release FINRA released a Regulatory Notice on Friday, March 17th, stating that they consider the role of the Chief Compliance Officer (“CCO”) […]

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7 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 […]

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Vigilant 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 […]

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Vigilant Monthly Newsletter | January 2022

In January, we saw important Risk Alerts, SEC Staff Releases, and important insights from Vigilant. Below is a brief overview of what took place in […]

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