Top SEC Releases and Vigilant Insights from 2023

Vigilant Insights “For an Understanding of the Future, look at the Past” As we start the first quarter of 2024, it is important to look […]

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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 […]

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