Ignites Archives - Vigilant LLC

ETF/Mutual Fund Dual Share Class Anticipated Approval | Salvatore Faia Insights

Vigilant Insights Introduction It is anticipated that the SEC may approve the majority of exemptive relief applications for the dual share class structure. This will […]

Top SEC Releases and Vigilant Insights from 2023

Vigilant Insights “For an Understanding of the Future, look at the Past” As we start the first quarter of 2024, it is important to look […]

AI and SEC Exams – Fred Teufel and CJ Schaible Insights

Vigilant Insights Introduction Artificial Intelligence (“AI”) and Cybersecurity are major areas of focus for the SEC. Registered Investment Advisers (“RIAs”) could be expected to discuss their policies and […]