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Vigilant Shortlisted for Private Fund Compliance Award
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance and Regulatory Adviser (Private Fund Industry) in Regulatory Compliance by The Drawdown for their […]
Read MoreUpdated Marketing Rule Guidance | Will Clark Insights
VIGILANT INSIGHTS Introduction The SEC updated its Marketing Rule FAQ on Wednesday, March 19th, 2025, with Vigilant providing the key takeaways for industry professionals. The […]
Read MoreUpdated Marketing Rule FAQs Released
SEC Releases Introduction As anticipated by Vigilant, it was announced on March 19th, 2025, that the SEC has released updated FAQs surrounding the SEC Marketing Rule. This was originally hinted […]
Read MoreSEC Names Rule Compliance Date Extended
SEC RELEASES Introduction On Friday, March 14th, the SEC announced that the Names Rule is receiving a six (6) month extension to the compliance dates. […]
Read MoreMarketing Rule Guidance Expected by the Industry | Will Clark Insights
VIGILANT INSIGHTS Introduction Early on at the Investment Adviser Association (IAA) Conference, there was chatter that later in the Conference did indeed lead led to hints by […]
Read MoreActing Chair Mark Uyeda Recent Speeches | Key Takeaways
SEC RELEASES Introduction As of March 5th, 2025, Acting SEC Chair, Mark Uyeda, has discussed his view of the SEC’s role moving forward during many […]
Read MoreVigilant Compliance Newsletter | February 2025
Monthly Newsletter Printer Friendly Version In February, there were notable releases featuring both Vigilant Insights and SEC Releases content. Below is a brief overview of what took […]
Read MoreDual-Hat CCO Support: How Vigilant Compliance Can Help
Vigilant Insights Introduction At Vigilant Compliance (“Vigilant”), our team of seasoned Compliance Professionals can provide a wide variety of services, enabling firms to navigate complex […]
Read MoreThe Language of Expected Returns | Bernadette Murphy Insights
VIGILANT INSIGHTS Introduction Under the SEC’s Marketing Rule, firms are prohibited from advertising hypothetical performance unless it is for a targeted audience and all material […]
Read MoreSEC Announces Cyber and Emerging Technologies Unit (CETU)
SEC RELEASES Introduction With Cybersecurity and Artificial Intelligence as top priorities for the SEC in 2025, the SEC announced February 20th, 2025, the creation of […]
Read MoreHow can a Dual Hat CCO Benefit from a Compliance Consultant?
Vigilant Insights Introduction Dual Hatted Chief Compliance Officers (“CCOs”) face unique challenges, which makes Outsourced Compliance Support particularly valuable for them. As we have seen with Dual […]
Read MoreRIA Charged for Breaching Fiduciary Duty
SEC RELEASES Introduction The SEC charged a New York RIA, and one of its former Investment Advisors, for misconduct involving their retail clients. Fiduciary Duty […]
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