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Alternative Credit Compliance Award | Vigilant Shortlisted
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the 2026 Compliance Service of the Year Award by Alternative Credit Investor for their Alternative Credit […]
Read MoreNew Marketing Compliance FAQs
SEC Releases Introduction Marketing Compliance remains a top regulatory priority for the SEC, as reinforced by continued examination focus and recent guidance from the Division […]
Read MoreHow to Best Leverage and Utilize Outsourced Compliance
Vigilant Insights Introduction Outsourced Compliance is most effective when it is treated as a strategic extension of a Firm’s operations, not simply a task-based service […]
Read MoreReg S-P Sweep Exams | Bernadette Murphy Insights
Vigilant Insights Introduction In light of the recent Regulation S-P (Reg S-P) amendments, the SEC has begun examining certain Firms, underscoring a growing regulatory emphasis […]
Read MoreSEC Moves to Modernize Small Entity Thresholds
SEC Releases Brief Introduction On January 7, 2026, the SEC announced a Proposed Rule to modernize and expand the definitions of small entities for Investment […]
Read MoreWhen Does Outsourcing Compliance Make Sense?
Vigilant Insights Introduction Compliance has become increasingly complex for Investment Advisers, Registered Funds, and Private Fund Managers. Regulatory expectations continue to expand, while examinations now […]
Read MoreThe 2026 Compliance Outlook | Vigilant Insights
Vigilant Insights Brief Introduction While many Firms have spent recent years implementing significant new Rules, the focus has now shifted toward operational execution, testing, and […]
Read MoreVigilant Compliance Newsletter | December 2025
Monthly Newsletter Printer Friendly Version In December, there were important releases including Vigilant Announcements, Vigilant Insights, and SEC Releases. Below is a brief overview of […]
Read MoreRetail Alts to Evolve in Measured Steps | Bernadette Murphy Insights
Vigilant Insights Introduction The SEC is signaling a more measured and flexible approach to regulating retail alternative investments, offering Asset Managers room to innovate while maintaining […]
Read MoreVigilant Shortlisted for ETF & Mutual Fund Compliance Award
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following award below by With Intelligence for their 2026 Mutual Fund & ETF Awards. Best Risk Management Solution […]
Read MoreMarketing Rule Risk Alert | Laura Arnott Insights
Vigilant Insights Introduction On December 16, 2025, the SEC’s Division of Examinations issued a Risk Alert addressing on-going compliance weaknesses related to the Marketing Rule […]
Read MoreReg S-P Sweep Exams in Effect | Vigilant Insights
Vigilant Insights Introduction On December 3rd, 2025, the Regulation S-P (“Reg S-P”) Rule Amendments went into effect for Large Advisers with over $1.5 Billion in […]
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