Vigilant Compliance Newsletter | March 2026
Monthly Newsletter
In March, there were important releases including Vigilant Insights and SEC Releases.
Below is a brief overview of what took place in the month of March, and what is approaching for April.
Events & Public Appearances by Officials
- 04/02/26 – Closed Meeting
- 04/16/26 – Options Market Structure Roundtable
- 04/28/26 – Small Business Capital Formation Advisory Committee Meeting
- To see upcoming 2026 SEC Meetings and Public Appearances click HERE!
Materials
Vigilant Insights:
When Are RIAs Conducting Mock Exams?
- Mock Exams are becoming a key priority for RIAs of all sizes, from newly SEC registered firms to multi-billion dollar advisers.
- Firms are increasingly using simulated examinations to assess readiness, identify gaps, and strengthen compliance before a regulatory review.
- By mirroring real SEC exams, Mock Exams help enhance internal controls, improve documentation, and proactively address compliance risks.
- For more on when a Mock Exam makes sense for your firm, click here.
SEC Releases:
SEC Chair Remarks on AI and Market Oversight
- SEC Chair, Paul Atkins, recently discussed the growing role of AI in financial markets and the importance of understanding how this technology may shape the future of regulation and market activity.
- The discussion highlighted the need for regulators and industry participants to better understand both the opportunities and potential risks associated with AI as its use across the financial sector continues to expand.
- Click here for key takeaways on Atkins’ remarks.
SEC Leaders Discuss Disclosure Reform and Market Innovation
- During the March 12, 2026, meeting of the SEC’s Investor Advisory Committee, SEC leadership discussed several important regulatory topics currently shaping the U.S. Capital Markets.
- Discussions focused on public company disclosures, fund proxy voting challenges, and the role of emerging technologies in existing frameworks.
- SEC leadership emphasized the importance of maintaining strong investor protections while ensuring the regulatory framework remains flexible enough to support capital formation, efficient markets, and technological innovation.
- Learn more here.
Investment Company Growth and the Role of Regulation
- On March 24, 2026, SEC Commissioner, Hester M. Peirce, made remarks at the ICI Conference, highlighting the expanding role of Investment Companies in the financial lives of everyday Americans.
- As participation in Registered Funds continues to grow, she emphasized the importance of maintaining a regulatory framework that supports investors while allowing Firms to operate effectively and serve their clients.
- View key takeaways from Peirce’s thoughts here.
The Vigilant Team is always happy to schedule a time to chat, feel free to contact us with any questions!
