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SEC 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 […]
Read MoreSEC Commissioner Crenshaw Raises Concerns on Market Direction
SEC Releases Introduction On December 11th, 2025, SEC Commissioner, Caroline A. Crenshaw, delivered a candid assessment of the current direction of the regulatory environment. To […]
Read MoreSEC Outlook | Brian Daly’s (SEC Director of IM) Remarks
SEC Releases Introduction On December 2, 2025, the newly appointed Director of the SEC’s Division of Investment Management, Brian Daly, addressed members of the American […]
Read MoreVigilant Wins Institutional Asset Manager Compliance Services Award
Vigilant Announcements Vigilant is thrilled to announce that for the third year in a row, we have been selected as the 2025 Best Regulatory & Compliance Adviser by Institutional Asset […]
Read MoreAlts & Retail Risks Lead SEC Agenda | Donna DiMaria Insights
Vigilant Insights Introduction The SEC’s newly released 2026 Examination Priorities place a renewed emphasis on the risks Alternative Investments pose to Retail Investors, marking a […]
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