Vigilant’s experienced professionals have extensive knowledge in Investment Adviser, Broker-Dealer, Mutual Fund, Private Equity, and Cybersecurity compliance, risk, and technology. Vigilant provides insights on best practices, trends, and industry news. Our blog consolidates all SEC, Vigilant, and industry-specific compliance alerts, white papers, articles, etc., to help you stay informed and find the information that you will need and find useful.
IAA Requests Reconsideration of AML Rules | Maxwell Baker Insights
May 14, 2025Vigilant Insights Introduction The Investment Advisor Association (IAA) has asked for the comment period to be reopened for rules approved[...]
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SEC Chair Paul Atkins Remarks at SEC Town Hall
May 13, 2025SEC RELEASES Introduction With the SEC under new management, Firms are wondering how they can best adjust their compliance programs for a new[...]
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Vigilant Compliance Newsletter | April 2025
May 05, 2025Monthly Newsletter Printer Friendly Version In April, there were important releases including Vigilant Insights and SEC Releases. Below is a brief overview[...]
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$2.9 Million Charge to RIA for Breach of Fiduciary Duty
April 30, 2025SEC RELEASES Introduction An RIA was charged by the SEC on April 25th, 2025, for failing to disclose conflicts of[...]
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ETF/Mutual Fund Dual Share Class Anticipated Approval | Salvatore Faia Insights
April 28, 2025Vigilant Insights Introduction It is anticipated that the SEC may approve the majority of exemptive relief applications for the dual[...]
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Compliance Consulting Reimagined Under the SEC’s New Direction
April 23, 2025Vigilant Insights Introduction With Paul Atkins now leading the SEC, there is a noticeable shift in regulatory philosophy that emphasizes[...]
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SEC Cracks Down on AI Misrepresentation
April 15, 2025SEC RELEASES Introduction On April 11th, 2025, the SEC charged a Founder and Former CEO (“CEO”), for allegedly defrauding investors[...]
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SEC Unveils Structural Overhaul of Enforcement Division
April 11, 2025News and Alerts Introduction It was recently reported that the SEC has reorganized the command structure for the Divisions of[...]
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Maximize Compliance Efficiency: The Case for an Outsourced CCO
April 07, 2025Vigilant Insights Introduction The decision to transition to an outsourced Chief Compliance Officer (“CCO”) is often driven by a variety[...]
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Protect Your Acquisition: Outsourced Compliance Due Diligence
April 03, 2025Vigilant Insights Who Is This Applicable To? Firms that are considering acquiring an Investment Adviser. Introduction When acquiring an Investment[...]
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Vigilant Compliance Newsletter | March 2025
March 31, 2025Monthly Newsletter Printer Friendly Version In March, there were important releases including Vigilant Insights, FINRA and SEC Releases, and a Vigilant Shortlist Award[...]
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SEC AI Roundtable | Key Takeaways
March 31, 2025SEC Releases Introduction On Thursday, March 27th, 2025, the SEC hosted a Roundtable that specifically focused on Artificial Intelligence (“AI”)[...]
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