Blog

How to Prepare for an SEC Examination | Vigilant Insights

Vigilant Insights Introduction After almost $5 billion in SEC charges from enforcement activity in FY 2023, Firms are recognizing the importance of being prepared. SEC Examinations can be […]

Read More

SEC Exam Sweeps for AI Use | Chuck Martin Reacts on WSJ

Vigilant Insights Introduction The use of Artificial Intelligence (“AI”) by RIAs is one of many focuses for the SEC’s Division of Examinations. With the SEC’s Proposed Rule related to AI use […]

Read More