SEC Director of IM Discusses AI in Investment Management
February 6, 2026SEC Releases Introduction In recent remarks at the ICI Winter Board Meeting, Brian Daly, Director of the SEC’s Division of Investment Management, discussed how AI […]
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Vigilant
Vigilant is an award-winning and industry-leading firm with over 21 years of expertise. As a full-service Outsourced Compliance Provider, we specialize in offering comprehensive compliance solutions to Registered Investment Advisers (RIAs) and Broker-Dealers. Our clients include a diverse range of RIAs, such as Private Equity firms, Hedge Funds, Closed-End Funds, ETFs, Mutual Funds, Real Estate Funds, and more.
Vigilant also has a FINRA Registered Broker Dealer that provides Registered Representative Services to Third Party Marketers, Wholesalers, M&A activity, Private Placements and more to firms/individuals that target Institutional Clients only. We also provide Statutory Distributor Services (Principal Underwriter) to Registered Funds (ETFs, Closed End/Interval Funds, Mutual Funds) that range from Millions to Multi-Billions in Assets Under Management (AUM). A core function performed within both of those Services is Marketing and Advertising Review through our team of Series 24 Licensed Professionals at a quick turnaround time on Marketing and Advertising material submissions.
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Vigilant delivers thorough and detailed coverage of SEC Releases, such as Risk Alerts and SEC Enforcement Actions, along with Vigilant Insights and Thought Leadership. With a Team boasting over 675 years of collective experience in the Financial Services and Investment Management industry, we make sure our content is expertly curated and enhanced for optimal relevance and impact.
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SEC Registration Compliance Considerations
February 4, 2026Vigilant Insights Introduction SEC Registration is a key regulatory milestone for Investment Advisers. Whether driven by asset growth, a new Fund launch, or changes to […]
SEC Registration Compliance Considerations
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FINRA Fines BD $750k (Recordkeeping & Supervisory Failures)
February 3, 2026FINRA Introduction On January 30th, 2026, FINRA fined and censured a Broker Dealer for $750,000 for failing to properly supervise and retain business-related text messages […]