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SEC 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 […]
Read MoreSEC AI Roundtable | Key Takeaways
SEC Releases Introduction On Thursday, March 27th, 2025, the SEC hosted a Roundtable that specifically focused on Artificial Intelligence (“AI”) in the financial industry. As […]
Read MoreSEC Charges Two (2) Officers and the Adviser for Misuse of Assets
SEC Releases Introduction The SEC announced charges earlier this month (March, 2025) against an RIA, and two of its Officers, for misuse of Fund and Company Assets. Compliance programs […]
Read MoreFINRA Announces Proposed Rule 3290
FINRA Introduction On March 12, 2025, FINRA, in its Notice 25-04, announced its intention to launch a broad review of its regulatory requirements and identify ways […]
Read MoreVigilant 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. […]
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