Blog
Important Compliance Concerns for 2025
VIGILANT INSIGHTS Introduction As compliance departments prepare for 2025, there is much discussion about how compliance leaders can continue to look for gaps in their […]
Read MoreThe SEC Marketing Rule and a New Administration | Will Clark Insights
Vigilant Insights Introduction With a new administration entering the White House in 2025, some are speculating that the regulatory climate the industry has faced for […]
Read MoreSEC Scrutiny of ESG Advertising | Maxwell Baker Insights
VIGILANT INSIGHTS Introduction The SEC recently charged a Firm $17,500,000 for misleading statements about the role of ESG in their investment strategies. In a recent […]
Read MoreRIC Risk Alert | Bernadette Murphy Insights
VIGILANT INSIGHTS Introduction The SEC recently released a Risk Alert focusing on frequent deficiencies found during their examinations of Registered Investment Companies (“RICs”). They have […]
Read MoreKey Takeaways from the SEC Compliance Outreach Seminar
SEC Releases Introduction Today, November 7th, the SEC just completed their National Compliance Program Outreach Seminar. There were opening remarks made by SEC Chair, Gary Gensler and […]
Read MoreRisk Alert Focused on RICs | Division of Examinations
SEC RELEASES Introduction On November 4th, 2024, the Division of Examinations (EXAMS) released a risk alert for Registered Investment Companies (RICs). Risk alerts are an […]
Read MoreVigilant Compliance Newsletter | October 2024
Monthly Newsletter In October, we saw a good blend of Vigilant Insights and SEC Releases content, as well as a Vigilant Announcement too. Below is a brief overview […]
Read MoreAI Oversight is Lacking for Firms | Maxwell Baker Insights
Vigilant Insights Introduction A recent survey that will be released in November reveals that although a majority of Financial Service Firms are considering the use of […]
Read More2025 Examination Priorities | Maxwell Baker Insights
VIGILANT INSIGHTS Introduction With the 2025 SEC exam priorities released last week, compliance professionals are analyzing their programs to ensure that they meet the regulatory requirements. The use […]
Read MoreCybersecurity Demand Increases for Pension Funds | Laura Arnott Insights
VIGILANT INSIGHTS Introduction Cybersecurity continues to be a focus area for the SEC and the rest of the Financial Services and Investment Management industry. As […]
Read MoreFund Misstatements Lead to $4 Million SEC Charge
SEC Releases Introduction On October 21st, the SEC announced a $4 Million Charge to a NY RIA for compliance failures and making misstatements. The RIA was marketing an Investment […]
Read More2025 Division of Examinations Exam Priorities
SEC Releases Introduction On October 21st, 2024, the Division of Examinations (EXAMS) released their 2025 Examination Priorities. There is detailed coverage on many important areas and we have […]
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