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 Releases
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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SEC Releases
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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SEC Releases
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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SEC Releases
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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SEC Releases
$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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SEC Releases
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 Releases
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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SEC Releases
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[...]
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SEC Releases
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[...]
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SEC Releases
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[...]
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SEC Releases
Acting Chair Mark Uyeda Recent Speeches | Key Takeaways
March 05, 2025SEC RELEASES Introduction As of March 5th, 2025, Acting SEC Chair, Mark Uyeda, has discussed his view of the SEC’s[...]
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SEC Releases
SEC Announces Cyber and Emerging Technologies Unit (CETU)
February 20, 2025SEC RELEASES Introduction With Cybersecurity and Artificial Intelligence as top priorities for the SEC in 2025, the SEC announced February[...]
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