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, 2025

SEC RELEASES Introduction The SEC held its 2025 Conference on Emerging Trends in Asset Management to explore how innovation, regulation,[...]

Read Article

Vigilant Compliance Newsletter | May 2025

June 04, 2025

Monthly Newsletter Printer Friendly Version In May, there were important releases including Vigilant Insights and SEC Releases. Below is a brief[...]

Read Article

Rulemaking and Economic Analysis | Paul Atkins Remarks

May 28, 2025

SEC RELEASES Introduction On May 16, 2025, the SEC Chair, Paul Atkins, spoke at the 12th annual conference on Financial[...]

Read Article

Adopted Amendments to Reg S-P

May 20, 2025

SEC Releases Introduction The Acting Director, Division of Examinations, Keith Cassidy, spoke last week about the approach the Division takes[...]

Read Article

IAA Requests Reconsideration of AML Rules | Maxwell Baker Insights

May 14, 2025

Vigilant Insights Introduction The Investment Advisor Association (IAA) has asked for the comment period to be reopened for rules approved[...]

Read Article

SEC Chair Paul Atkins Remarks at SEC Town Hall

May 13, 2025

SEC RELEASES Introduction With the SEC under new management, Firms are wondering how they can best adjust their compliance programs for a new[...]

Read Article

Vigilant Compliance Newsletter | April 2025

May 05, 2025

Monthly Newsletter Printer Friendly Version In April, there were important releases including Vigilant Insights and SEC Releases. Below is a brief overview[...]

Read Article

$2.9 Million Charge to RIA for Breach of Fiduciary Duty

April 30, 2025

SEC RELEASES Introduction An RIA was charged by the SEC on April 25th, 2025, for failing to disclose conflicts of[...]

Read Article

ETF/Mutual Fund Dual Share Class Anticipated Approval | Salvatore Faia Insights

April 28, 2025

Vigilant Insights Introduction It is anticipated that the SEC may approve the majority of exemptive relief applications for the dual[...]

Read Article

Compliance Consulting Reimagined Under the SEC’s New Direction

April 23, 2025

Vigilant Insights Introduction With Paul Atkins now leading the SEC, there is a noticeable shift in regulatory philosophy that emphasizes[...]

Read Article

SEC Cracks Down on AI Misrepresentation

April 15, 2025

SEC 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, 2025

News and Alerts Introduction It was recently reported that the SEC has reorganized the command structure for the Divisions of[...]

Read Article