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Performance Projections Proposal | Vigilant Insights
Vigilant Insights Introduction On February 11, 2026, FINRA released a Proposal that could reshape how Broker Dealers use Performance Projections in Marketing Materials. FINRA has […]
Read MoreNavigating Private Fund Marketing Rules | Vigilant Insights
Vigilant Insights Introduction Private Fund Managers continue to face increasing scrutiny around how they market their strategies, performance, and expertise. While the SEC’s modernized Marketing […]
Read MoreFirms Struggling with the Marketing Rule | Will Clark Insights
VIGILANT INSIGHTS Introduction As the SEC investigates and charges Firms for Marketing Rule violations, it has been reported that Private Funds and Separately Managed Account […]
Read MoreImportance of Maintaining Records of Communications | Will Clark Insights
Vigilant Insights Off-channel communication violations continue to be a costly compliance mistake in the securities industry. Almost $549 million in fines have been handed out in the past month. In […]
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