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AI Compliance Considerations
Vigilant Insights Introduction AI is quickly becoming part of how RIAs operate, whether through Portfolio Management tools, client communications, trading analytics, or compliance monitoring systems. […]
Read MoreQ1 2026 Compliance Trends | Vigilant Insights
Vigilant Insights Introduction So far in 2026, both the SEC and FINRA are reinforcing a familiar message, Firms must demonstrate (not just document) effective compliance […]
Read MoreDOL Proposes New Fiduciary Framework for 401(k) Investment Selection
News and Alerts Introduction The U.S. Department of Labor’s (DOL) proposed rule on “Fiduciary Duties in Selecting Designated Investment Alternatives” seeks to clarify how fiduciaries […]
Read MoreVigilant Recognized as Finalist for Private Fund Compliance Award
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance and Regulatory Adviser (Private Fund Industry) in Regulatory Compliance by The Drawdown for their 2026 Awards. […]
Read MoreVigilant Compliance Newsletter | March 2026
Monthly Newsletter Printer Friendly Version In March, there were important releases including Vigilant Insights and SEC Releases. Below is a brief overview of what took place […]
Read MoreInvestment Company Growth and the Role of Regulation
SEC Releases Introduction On March 24, 2026, SEC Commissioner, Hester M. Peirce, made remarks at the ICI Conference, highlighting the expanding role of Investment Companies […]
Read MoreSEC Leaders Discuss Disclosure Reform and Market Innovation
SEC Releases Introduction During the March 12, 2026, meeting of the SEC’s Investor Advisory Committee, SEC leadership discussed several important regulatory topics currently shaping the […]
Read MoreWhen Are RIAs Conducting Mock Exams?
Vigilant Insights Introduction Mock Exams have become an important area of consideration for many Registered Investment Advisers (“RIAs”) of all sizes ranging from multi-Billion in […]
Read MoreSEC Chair Remarks on AI and Market Oversight
SEC Releases Introduction At a recent roundtable hosted by the Financial Stability Oversight Council as part of its AI Innovation Series, SEC Chair, Paul Atkins, […]
Read MoreVigilant Compliance Newsletter | February 2026
Monthly Newsletter Printer Friendly Version In February, there were important releases including Vigilant Insights, SEC Releases, and FINRA Releases. Below is a brief overview of […]
Read MoreSEC Charges Private Credit Adviser Over Valuations
SEC Releases Introduction On February 25, 2026, the SEC charged an RIA specializing in Private Credit and Loan Investments with violating the Investment Advisers Act […]
Read MoreSEC Proposes N-PORT Relief | Fred Teufel Insights
Vigilant Insights Introduction On February 19, 2026, the SEC announced Proposed Amendments designed to reduce certain operational burdens associated with Form N-PORT reporting while maintaining […]
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