Bernadette Murphy Insights Archives

Marketing 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 […]

Regulatory 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 […]

Why 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 […]