Vigilant’s experienced professionals have extensive knowledge in Investment Adviser, Broker-Dealer, Mutual Fund, Private Equity, and Cybersecurity compliance, risk, and technology. Vigilant provides insights on best practices, trends, and industry news. Our blog consolidates all SEC, Vigilant, and industry-specific compliance alerts, white papers, articles, etc., to help you stay informed and find the information that you will need and find useful.
SEC Director of IM Discusses AI in Investment Management
February 06, 2026SEC Releases Introduction In recent remarks at the ICI Winter Board Meeting, Brian Daly, Director of the SEC’s Division of[...]
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SEC Registration Compliance Considerations
February 04, 2026Vigilant Insights Introduction SEC Registration is a key regulatory milestone for Investment Advisers. Whether driven by asset growth, a new[...]
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FINRA Fines BD $750k (Recordkeeping & Supervisory Failures)
February 03, 2026FINRA Introduction On January 30th, 2026, FINRA fined and censured a Broker Dealer for $750,000 for failing to properly supervise[...]
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Retail Alts Compliance Considerations
February 02, 2026Vigilant Insights Introduction The landscape of Alternative Investments has expanded significantly over the last decade, with Retail Investors gaining access[...]
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Vigilant Compliance Newsletter | January 2026
January 30, 2026Monthly Newsletter Printer Friendly Version In January, there were important releases including Vigilant Announcements, Vigilant Insights, and SEC Releases. Below[...]
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Navigating Private Fund Marketing Rules | Vigilant Insights
January 28, 2026Vigilant Insights Introduction Private Fund Managers continue to face increasing scrutiny around how they market their strategies, performance, and expertise.[...]
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Custody Rule Violations and Compliance Gaps Drive SEC Order
January 25, 2026SEC Releases Introduction On January 20, 2026, the SEC issued an administrative enforcement order against two RIAs (both wholly owned[...]
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Marketing Rule FAQ Updates | Maxwell Baker Insights
January 21, 2026Vigilant Insights Introduction The SEC has issued updated guidance to its Marketing Rule FAQs, aiming to address on-going industry confusion[...]
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Alternative Credit Compliance Award | Vigilant Shortlisted
January 19, 2026Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the 2026 Compliance Service of the Year Award by Alternative Credit[...]
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New Marketing Compliance FAQs
January 16, 2026SEC Releases Introduction Marketing Compliance remains a top regulatory priority for the SEC, as reinforced by continued examination focus and[...]
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How to Best Leverage and Utilize Outsourced Compliance
January 13, 2026Vigilant Insights Introduction Outsourced Compliance is most effective when it is treated as a strategic extension of a Firm’s operations,[...]
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Reg S-P Sweep Exams | Bernadette Murphy Insights
January 12, 2026Vigilant Insights Introduction In light of the recent Regulation S-P (Reg S-P) amendments, the SEC has begun examining certain Firms,[...]
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