SEC Releases
ESG Rules Update from Commissioner Elad L. Roisman
Vigilant Insights | SEC Release On June 22nd, 2021, the SEC posted a speech regarding ESG Rules and if the SEC will make them sustainable. The […]
Read MoreSEC Announces Annual Regulatory Agenda for Spring 2021
Vigilant Insights On June 11th, 2021, the SEC announced the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions. The SEC highlighted that […]
Read MoreS&P Dow Jones Indices Gets Charged with Failures Relating to Volatility-Related Index
On May 17th, 2021, the SEC settled charges with S&P Dow Jones Indices for Failures Relating to Volatility-Related Index for which they agreed to a cease-and-desist order […]
Read MoreEXAMS Provides a Risk Alert on their Review of ESG Investing
On April 9th, 2021 the Division of Examinations (EXAMS) released a Risk Alert on their Review of ESG Investing. Recently, there has been increasing investor […]
Read MoreDivision of Examinations Provides a Risk Alert Regarding AML Requirements
On Monday (March 29th, 2021) the Division of Examinations (“EXAMS”) released a Risk Alert regarding examinations they conducted from Broker-Dealers and Mutual Funds on their compliance with AML […]
Read MoreSEC Ad Rule gets an Official Date in Effect for May 4th
After awaiting an announcement regarding when the Ad Rule will take effect from the delay that was given by the White House we now have a set […]
Read MoreDivision of Examinations Announces 2021 Examination Priorities
The SEC’s Division of Examinations announced its 2021 examination priorities on March 3rd, which highlights a greater focus on climate-related risks. It is important to note […]
Read MoreDivision of Examinations Addressed the Threat from Securities Associated with Chinese Military Companies
The Division of Examinations (formerly known as OCIE) released a Risk Alert on Wednesday (1/6/21) notifying Investment Advisers, Broker-Dealers, and other market participants to investments in […]
Read MoreSEC Adopts Modernized Marketing Rule for Investment Advisers
The SEC just released an important announcement today (12/22) stating that it has finalized reforms under the Investment Advisers Act to modernize rules that govern investment […]
Read MoreSEC Risk Alert: OCIE Examines Broker-Dealers And Investment Advisers
The SEC came out with a Risk Alert yesterday (12/17) regarding Observations from Examinations of Broker-Dealers and Investment Advisers (Large Trader Obligations). Here are some expectations from this […]
Read MoreFramework For Fund Valuation Practices: Rule 2a-5
The SEC made an announcement today (12/03) stating that they have adopted a new rule (2a-5) that establishes an updated regulatory framework for fund valuation […]
Read MoreThe Role of the CCO
OCIE’s Director Pete Driscoll, yesterday spoke at the SEC’s outreach program, sharing his views of the role of an Adviser’s CCO. In addition, on November […]
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