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.
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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”)[...]
Read Article
SEC Charges Two (2) Officers and the Adviser for Misuse of Assets
March 27, 2025SEC Releases Introduction The SEC announced charges earlier this month (March, 2025) against an RIA, and two of its Officers, for misuse of Fund[...]
Read Article
FINRA Announces Proposed Rule 3290
March 26, 2025FINRA Introduction On March 12, 2025, FINRA, in its Notice 25-04, announced its intention to launch a broad review of its[...]
Read Article
Vigilant Shortlisted for Private Fund Compliance Award
March 25, 2025Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance and Regulatory Adviser (Private Fund Industry) in Regulatory Compliance[...]
Read Article
Updated Marketing Rule Guidance | Will Clark Insights
March 24, 2025VIGILANT INSIGHTS Introduction The SEC updated its Marketing Rule FAQ on Wednesday, March 19th, 2025, with Vigilant providing the key[...]
Read Article
Updated Marketing Rule FAQs Released
March 20, 2025SEC Releases Introduction As anticipated by Vigilant, it was announced on March 19th, 2025, that the SEC has released updated FAQs surrounding the SEC[...]
Read Article
SEC Names Rule Compliance Date Extended
March 17, 2025SEC RELEASES Introduction On Friday, March 14th, the SEC announced that the Names Rule is receiving a six (6) month[...]
Read Article