Vigilant Insights
Dual-Hat CCO Support: How Vigilant Compliance Can Help
Vigilant Insights Introduction At Vigilant Compliance (“Vigilant”), our team of seasoned Compliance Professionals can provide a wide variety of services, enabling firms to navigate complex […]
Read MoreThe Language of Expected Returns | Bernadette Murphy Insights
VIGILANT INSIGHTS Introduction Under the SEC’s Marketing Rule, firms are prohibited from advertising hypothetical performance unless it is for a targeted audience and all material […]
Read MoreHow can a Dual Hat CCO Benefit from a Compliance Consultant?
Vigilant Insights Introduction Dual Hatted Chief Compliance Officers (“CCOs”) face unique challenges, which makes Outsourced Compliance Support particularly valuable for them. As we have seen with Dual […]
Read MoreUnlock Compliance Efficiency: The Benefits of Outsourcing the CCO Role
Vigilant Insights Introduction For SEC Registered Investment Advisers (“RIAs”), maintaining compliance with ever-evolving regulatory requirements is crucial to avoid potential penalties and ensure smooth business operations. […]
Read MoreIs Deepseek AI Safe to Use? | Chuck Martin Insights
VIGILANT INSIGHTS Introduction When the AI model, DeepSeek, was announced recently, investors reacted swiftly to a high-performance AI model with allegedly only $6 million in […]
Read MoreHow to Navigate Private Fund Compliance in 2025?
VIGILANT INSIGHTS Introduction This past year had Private Fund Compliance Programs on a heightened sense of awareness. Private Fund rules initially adopted in 2023, with […]
Read MoreAdapting to the New Regulatory Landscape | Chuck Martin Insights
VIGILANT INSIGHTS Introduction The SEC recently announced a record number of enforcements for Q1 of FY 2025. The announcement occurred in midst of an on-going […]
Read MoreDisclosure Errors for Registered Funds | Liam Clarke Insights
Vigilant Insights Introduction The SEC’s Investment Management Unit reported this month (January 2025) that many ETFs, Mutual Funds, and Money Market Funds have errors in […]
Read MoreSEC’s Anticipated Regulatory Outlook | Chuck Martin Insights
Vigilant Insights Introduction The SEC started off their Fiscal Year with a record number of enforcement actions. As the industry anticipates a change in the regulatory environment, […]
Read MoreThe Importance of Compliance Testing | Vigilant Insights
Vigilant Insights Introduction As Firms finalize their compliance programs from 2024, a common concern for Compliance Officers focuses on Annual Testing. Compliance Testing is an essential […]
Read MorePaul Atkins Nominated as SEC Chair | Salvatore Faia Insights
VIGILANT INSIGHTS Introduction On December 4th, 2024, Paul Atkins was nominated by president-elect, Donald Trump, to take over for current SEC Chair, Gary Gensler. This […]
Read MoreTrade Allocations Enforcement | Salvatore Faia Insights on Barron’s
VIGILANT INSIGHTS Introduction After recent charges against a Fund Manager related to Trade Allocations involving an alleged $600 Million cherry-picking scheme, Portfolio Managers are reviewing […]
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