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7 Steps to Maintain Compliance with the Marketing Rule

Vigilant Insights Brief Introduction The New Marketing Rule goes into full effect November 4th 2022. Firms across the industry should be taking immediate action to ensure that they […]

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Risk Alert “Reminder” | New Marketing Rule

EXAMS Issues Risk Alert on New Investment Adviser Marketing Rule Brief Introduction On Monday, September 19th, the Division of Examinations (“EXAMS”), released a Risk Alert towards upcoming review […]

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Vigilant’s COO, Chuck Martin, Presented on the Marketing Rule at the 2022 PMAR Conference

At this year’s 2022 PMAR Conference hosted by The Spaulding Group, Vigilant’s Chief Operating Officer, Chuck Martin, and K&L Gates Of Council, Pamela Grossetti, presented on the SEC Marketing […]

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EXAMS Issues Reminder For The Marketing Rule Compliance Date

Brief Introduction On Monday, May 23rd, the Division of Examinations (“EXAMS”), sent out an email reminder to all SEC RIAs reminding them about the compliance date for […]

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Vigilant Marketing Rule Survey Results

Marketing Rule Industry Results Thank you to everyone that took the time to fill out our Marketing Rule Survey! Below are Key Takeaways from the Results we […]

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