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SEC Chair Testimony Before Senate Subcommittee | Key Takeaways
SEC Releases Introduction SEC Chair, Paul Atkins, provided a testimony to the United States Senate Appropriations Subcommittee on Financial Services and General Government earlier this […]
Read MoreRIA Charged for Disclosure Failures and Misleading Statements
SEC Releases Introduction An RIA was charged this month (June, 2025) for failing in their fiduciary duties. The Firm allegedly made false and misleading fee […]
Read MoreSEC’s Emerging Trends in Asset Management Conference | Key Takeaways
SEC RELEASES Introduction The SEC held its 2025 Conference on Emerging Trends in Asset Management to explore how innovation, regulation, and shifting investor dynamics are […]
Read MoreVigilant Compliance Newsletter | May 2025
Monthly Newsletter Printer Friendly Version In May, there were important releases including Vigilant Insights and SEC Releases. Below is a brief overview of what took place […]
Read MoreRulemaking and Economic Analysis | Paul Atkins Remarks
SEC RELEASES Introduction On May 16, 2025, the SEC Chair, Paul Atkins, spoke at the 12th annual conference on Financial Market Regulation. Compliance professionals have […]
Read MoreAdopted 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 […]
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