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.
Vigilant Insights
Closed-End Fund Structures: Which One Fits Your Firm?
October 27, 2025Vigilant Insights Introduction Closed-End Funds continue to evolve as Investment Managers seek innovative ways to access capital, deliver liquidity options[...]
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Common Compliance Mishaps | How Vigilant Compliance Can Help
October 17, 2025Vigilant Insights Introduction In today’s evolving regulatory landscape, even well-intentioned Firms can face challenges in maintaining full compliance with SEC[...]
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Vigilant Insights
Essential Year-End Compliance Considerations for RIAs and RICs
October 07, 2025Vigilant Insights Introduction As 2025 enters its final quarter, Registered Investment Advisers (“RIAs”) and Registered Funds (“RICs”) face an evolving[...]
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Vigilant Insights
Balancing Opportunity and Protection in Alts | Bill Speacht Insights
September 29, 2025Vigilant Insights Introduction The SEC’s Investor Advisory Committee (IAC) recently issued recommendations to expand retail investor access to alternative investments[...]
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The Case for Outsourced PFO Services in Today’s Registered Fund Ecosystem
September 23, 2025Vigilant Insights The Evolving Demands on Registered Fund Boards In the world of Registered Investment Companies (“RICs”), Boards play a[...]
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Vigilant Insights
Debunking Common Misconceptions About Outsourced Compliance for RIAs, RICs, and Broker Dealers
August 08, 2025Vigilant Insights Introduction As regulatory expectations grow in complexity, many SEC Registered Investment Advisers (RIAs), SEC Registered Investment Companies (RICs),[...]
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Common Marketing Review Mistakes and How to Improve Them: A Guide for RIAs, RICs, and Broker Dealers
August 06, 2025Vigilant Insights Introduction In the ever-evolving landscape of Marketing and Advertising, SEC Registered Investment Advisers (“RIAs”), SEC Registered Investment Companies[...]
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Vigilant Insights
Why Private Fund Managers are Turning to Closed-End Funds
August 04, 2025Vigilant Insights The Growing Appeal of Closed-End Funds for Private Fund Managers: Unlocking Liquidity and Broader Investor Access Vigilant continues[...]
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Vigilant Insights
When Should an RIA Consider a Mock Examination?
July 09, 2025VIGILANT INSIGHTS Introduction For SEC Registered Investment Advisers (RIAs), regulatory compliance isn’t just a box to check, it’s an ongoing responsibility[...]
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IAA Requests Reconsideration of AML Rules | Maxwell Baker Insights
May 14, 2025Vigilant Insights Introduction The Investment Advisor Association (IAA) has asked for the comment period to be reopened for rules approved[...]
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ETF/Mutual Fund Dual Share Class Anticipated Approval | Salvatore Faia Insights
April 28, 2025Vigilant Insights Introduction It is anticipated that the SEC may approve the majority of exemptive relief applications for the dual[...]
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Compliance Consulting Reimagined Under the SEC’s New Direction
April 23, 2025Vigilant Insights Introduction With Paul Atkins now leading the SEC, there is a noticeable shift in regulatory philosophy that emphasizes[...]
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