Blog

Vigilant’s Managing Director Quoted In Ignites On Share Class Exams

Brief Introduction SEC Examination and Enforcement Officials provided a statement that Mutual Fund shops should expect continued scrutiny over their share class selection and disclosure. The SEC […]

Read More

SEC Proposes Rules for Climate-Related Disclosures

Brief Introduction The SEC released proposed rule changes for certain climate-related disclosures on March 21st to provide investors with consistent, comparable, and decision-useful information for making their investment […]

Read More

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 […]

Read More

Private Fund Adviser Deficiencies | EXAMS Risk Alert

On Thursday, January 27th, the Division of Examinations (“EXAMS”) released a risk alert on their observations from examining Private Fund Advisers. There were 4 key areas examined during EXAMS observations: […]

Read More

ESG Rules Update from Commissioner Elad L. Roisman

  Vigilant Insights | SEC Release   On June 22nd, 2021, the SEC posted a speech regarding ESG Rules and if the SEC will make them sustainable. The […]

Read More

SEC Announces Annual Regulatory Agenda for Spring 2021

  Vigilant Insights   On June 11th, 2021, the SEC announced the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions. The SEC highlighted that […]

Read More