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Reg S-P Sweep Exams | Bernadette Murphy Insights
Vigilant Insights Introduction In light of the recent Regulation S-P (Reg S-P) amendments, the SEC has begun examining certain Firms, underscoring a growing regulatory emphasis […]
Read MoreRetail Alts to Evolve in Measured Steps | Bernadette Murphy Insights
Vigilant Insights Introduction The SEC is signaling a more measured and flexible approach to regulating retail alternative investments, offering Asset Managers room to innovate while maintaining […]
Read MoreMarketing Rule Sweeps | Bernadette Murphy Insights
Vigilant Insights Brief Introduction As the SEC continues to announce violations related to the Marketing Rule, Firms are understandably worried about their performance if they are included in an […]
Read MoreRegulatory Impact on Smaller Firms | Bernadette Murphy Insights
Vigilant Insights Brief Introduction Vigilant Managing Director, Bernadette Murphy, MSL, was recently quoted in InvestmentNews discussing the impact of SEC regulations on Registered Investment Advisers (“RIAs”). As the SEC […]
Read MoreWhy Due Diligence Is Crucial | Vigilant Insights
Vigilant Insights Brief Introduction The SEC recently adopted a new rule related to Cybersecurity Disclosure. Cybersecurity continues to be a major focus for the SEC. The […]
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