SEC Archives - Vigilant LLC

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 […]

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 […]

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 […]

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: […]

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 […]

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 […]