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Marketing 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 […]
Read MoreUnlock Compliance Efficiency: The Benefits of Outsourcing the CCO Role
Vigilant Insights Introduction For SEC Registered Investment Advisers (“RIAs”), maintaining compliance with ever-evolving regulatory requirements is crucial to avoid potential penalties and ensure smooth business operations. […]
Read MoreIs Deepseek AI Safe to Use? | Chuck Martin Insights
VIGILANT INSIGHTS Introduction When the AI model, DeepSeek, was announced recently, investors reacted swiftly to a high-performance AI model with allegedly only $6 million in […]
Read MoreHow to Navigate Private Fund Compliance in 2025?
VIGILANT INSIGHTS Introduction This past year had Private Fund Compliance Programs on a heightened sense of awareness. Private Fund rules initially adopted in 2023, with […]
Read MoreVigilant Compliance Newsletter | January 2025
Monthly Newsletter Printer Friendly Version In January, there were important releases that contained both Vigilant Insights and SEC Releases content. There was also a Vigilant Announcement regarding a recent Award Shortlisting. […]
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