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Adopted Amendments to Reg S-P
SEC Releases Introduction The Acting Director, Division of Examinations, Keith Cassidy, spoke last week about the approach the Division takes regarding the adopted amendments to […]
Read MoreIAA Requests Reconsideration of AML Rules | Maxwell Baker Insights
Vigilant Insights Introduction The Investment Advisor Association (IAA) has asked for the comment period to be reopened for rules approved last year by the SEC […]
Read MoreSEC Chair Paul Atkins Remarks at SEC Town Hall
SEC RELEASES Introduction With the SEC under new management, Firms are wondering how they can best adjust their compliance programs for a new regulatory landscape. Industry experts pull from […]
Read MoreVigilant Compliance Newsletter | April 2025
Monthly Newsletter Printer Friendly Version In April, there were important releases including Vigilant Insights and SEC Releases. Below is a brief overview of what took place in […]
Read More$2.9 Million Charge to RIA for Breach of Fiduciary Duty
SEC RELEASES Introduction An RIA was charged by the SEC on April 25th, 2025, for failing to disclose conflicts of interest, violating their fiduciary duty. […]
Read MoreETF/Mutual Fund Dual Share Class Anticipated Approval | Salvatore Faia Insights
Vigilant Insights Introduction It is anticipated that the SEC may approve the majority of exemptive relief applications for the dual share class structure. This will […]
Read MoreCompliance Consulting Reimagined Under the SEC’s New Direction
Vigilant Insights Introduction With Paul Atkins now leading the SEC, there is a noticeable shift in regulatory philosophy that emphasizes transparency, consistency, and a less […]
Read MoreSEC Cracks Down on AI Misrepresentation
SEC RELEASES Introduction On April 11th, 2025, the SEC charged a Founder and Former CEO (“CEO”), for allegedly defrauding investors by making false and misleading […]
Read MoreSEC Unveils Structural Overhaul of Enforcement Division
News and Alerts Introduction It was recently reported that the SEC has reorganized the command structure for the Divisions of Enforcement and Exams. Previously, the […]
Read MoreMaximize Compliance Efficiency: The Case for an Outsourced CCO
Vigilant Insights Introduction The decision to transition to an outsourced Chief Compliance Officer (“CCO”) is often driven by a variety of practical considerations, particularly in […]
Read MoreProtect Your Acquisition: Outsourced Compliance Due Diligence
Vigilant Insights Who Is This Applicable To? Firms that are considering acquiring an Investment Adviser. Introduction When acquiring an Investment Adviser, conducting a thorough Compliance Due […]
Read MoreVigilant Compliance Newsletter | March 2025
Monthly Newsletter Printer Friendly Version In March, there were important releases including Vigilant Insights, FINRA and SEC Releases, and a Vigilant Shortlist Award Announcement. Below is a brief […]
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