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’s Emerging Trends in Asset Management Conference | Key Takeaways
June 06, 2025SEC RELEASES Introduction The SEC held its 2025 Conference on Emerging Trends in Asset Management to explore how innovation, regulation,[...]
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Vigilant Compliance Newsletter | May 2025
June 04, 2025Monthly Newsletter Printer Friendly Version In May, there were important releases including Vigilant Insights and SEC Releases. Below is a brief[...]
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Rulemaking and Economic Analysis | Paul Atkins Remarks
May 28, 2025SEC RELEASES Introduction On May 16, 2025, the SEC Chair, Paul Atkins, spoke at the 12th annual conference on Financial[...]
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Adopted Amendments to Reg S-P
May 20, 2025SEC Releases Introduction The Acting Director, Division of Examinations, Keith Cassidy, spoke last week about the approach the Division takes[...]
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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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