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In response to their Coronavirus efforts, the SEC released an FAQ to answer some common questions Firms and Investment Advisers may have. Click the link below to see how this FAQ can give you some clarity. vigilantllc.com vigilantllc.com/sec-faq-covid1… #SEC #Compliance

The SEC’s Staff of the Division of Trading and Markets has released an FAQ to its most frequently asked questions on Regulation Best Interest (“Reg BI). Recently three more questions were added. Click the Link below to learn more and access the FAQ. vigilantllc.com/new-reg-bi-faq…

What does the Highest Whistleblower Payout by the SEC of $50 million mean for you? Click the link below to find out how you can be prepared by effectively managing your whistleblower polices. vigilantllc.com/sec-whistleblo… #compliance #whistleblower #SEC

Our Office of Compliance Inspections and Examinations has identified a number of COVID-19-related issues, risks, and practices relevant to SEC-registered investment advisers and broker-dealers. Details in our latest Risk Alert: ow.ly/O6d550AXFbW

OCIE Releases Risk Alert for Broker-Dealers and RIAs in light of COVID-19. Click below to learn more and how you can be prepared. vigilantllc.com/ocie-releases-… vigilantllc.com #SEC #OCIE #COVID19 #RiskAlert

SEC modernizes the accredited investor definition ow.ly/ql3850B9wui

For Immediate Release: SEC Amends #Accreditedinvestor Definition. These amendments now allow investors to qualify as accredited investors based on certifications and experience not only net worth. Click below for the SEC Fact Sheet. vigilantllc.com/sec-adopts-ame…

#Vigilant is thrilled to welcome John J. Brett as the new President of Herald Investment Marketing, LLC. To learn more about John's background and HIM click the link below! mailchi.mp/vigilantllc/s-…

On Monday (March 29th, 2021) the Division of Examinations ("EXAMS") released a Risk Alert regarding examinations they conducted from Broker-Dealers and Mutual Funds on their compliance with AML requirements. Click below to read more! linkedin.com/feed/update/ur…

What’s the ETF Rule? Vigilant Managing Director, Perpetua Seidenberg, explains what investment advisers and asset managers should know. #TheETFExchange Learn more: vigilantllc.com/vigilant-insig…