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 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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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[...]
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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[...]
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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[...]
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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 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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Marketing Rule Guidance Expected by the Industry | Will Clark Insights
March 11, 2025VIGILANT INSIGHTS Introduction Early on at the Investment Adviser Association (IAA) Conference, there was chatter that later in the Conference did[...]
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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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Vigilant Compliance Newsletter | February 2025
March 02, 2025Monthly Newsletter Printer Friendly Version In February, there were notable releases featuring both Vigilant Insights and SEC Releases content. Below is a[...]
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Dual-Hat CCO Support: How Vigilant Compliance Can Help
February 26, 2025Vigilant Insights Introduction At Vigilant Compliance (“Vigilant”), our team of seasoned Compliance Professionals can provide a wide variety of services,[...]
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The Language of Expected Returns | Bernadette Murphy Insights
February 25, 2025VIGILANT INSIGHTS Introduction Under the SEC’s Marketing Rule, firms are prohibited from advertising hypothetical performance unless it is for a[...]
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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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