Blog
IAA Requests Reconsideration of AML Rules | Maxwell Baker Insights
Vigilant Insights Introduction The Investment Advisor Association (IAA) has asked for the comment period to be reopened for rules approved last year by the SEC […]
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 MoreCompliance Implications from Supreme Court Rulings
VIGILANT INSIGHTS Introduction Last month, the Supreme Court overturned the Chevron Doctrine which will likely have a lasting impact on regulatory agencies. As the SEC’s […]
Read MoreSEC Investigations Related to Messaging Apps | Maxwell Baker Reacts
Vigilant Insights Vigilant’s own, Maxwell Baker, Esq., was quoted in InvestmentNews related to the SEC’s continued investigations into the use of messaging apps by employees of registered firms. […]
Read More