Vigilant Insights
Disclosure 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 […]
Read MoreImportant Compliance Concerns for 2025
VIGILANT INSIGHTS Introduction As compliance departments prepare for 2025, there is much discussion about how compliance leaders can continue to look for gaps in their […]
Read MoreThe SEC Marketing Rule and a New Administration | Will Clark Insights
Vigilant Insights Introduction With a new administration entering the White House in 2025, some are speculating that the regulatory climate the industry has faced for […]
Read MoreSEC Scrutiny of ESG Advertising | Maxwell Baker Insights
VIGILANT INSIGHTS Introduction The SEC recently charged a Firm $17,500,000 for misleading statements about the role of ESG in their investment strategies. In a recent […]
Read MoreRIC Risk Alert | Bernadette Murphy Insights
VIGILANT INSIGHTS Introduction The SEC recently released a Risk Alert focusing on frequent deficiencies found during their examinations of Registered Investment Companies (“RICs”). They have […]
Read MoreAI Oversight is Lacking for Firms | Maxwell Baker Insights
Vigilant Insights Introduction A recent survey that will be released in November reveals that although a majority of Financial Service Firms are considering the use of […]
Read More2025 Examination Priorities | Maxwell Baker Insights
VIGILANT INSIGHTS Introduction With the 2025 SEC exam priorities released last week, compliance professionals are analyzing their programs to ensure that they meet the regulatory requirements. The use […]
Read MoreCybersecurity Demand Increases for Pension Funds | Laura Arnott Insights
VIGILANT INSIGHTS Introduction Cybersecurity continues to be a focus area for the SEC and the rest of the Financial Services and Investment Management industry. As […]
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