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.
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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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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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When Does Outsourcing Compliance Make Sense?
January 08, 2026Vigilant Insights Introduction Compliance has become increasingly complex for Investment Advisers, Registered Funds, and Private Fund Managers. Regulatory expectations continue[...]
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The 2026 Compliance Outlook | Vigilant Insights
January 07, 2026Vigilant Insights Brief Introduction While many Firms have spent recent years implementing significant new Rules, the focus has now shifted[...]
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Retail Alts to Evolve in Measured Steps | Bernadette Murphy Insights
December 31, 2025Vigilant Insights Introduction The SEC is signaling a more measured and flexible approach to regulating retail alternative investments, offering Asset Managers[...]
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Marketing Rule Risk Alert | Laura Arnott Insights
December 22, 2025Vigilant Insights Introduction On December 16, 2025, the SEC’s Division of Examinations issued a Risk Alert addressing on-going compliance weaknesses[...]
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Reg S-P Sweep Exams in Effect | Vigilant Insights
December 16, 2025Vigilant Insights Introduction On December 3rd, 2025, the Regulation S-P (“Reg S-P”) Rule Amendments went into effect for Large Advisers[...]
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Alts & Retail Risks Lead SEC Agenda | Donna DiMaria Insights
December 02, 2025Vigilant Insights Introduction The SEC’s newly released 2026 Examination Priorities place a renewed emphasis on the risks Alternative Investments pose[...]
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Streamlining 15(c) Reporting | Salvatore Faia Insights
November 20, 2025Vigilant Insights Introduction Fund Boards are increasingly reevaluating the volume and relevance of their Annual 15(c) Materials, working to eliminate[...]
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Webinar Replay: RIA Dealmaking
November 13, 2025Vigilant Insights Recently, Vigilant’s President & CEO, Salvatore Faia, Esq., CPA, CFE, participated on a Thompson Hine Webinar with Andy Davalla (Partner) and Shelbie Harvey (Senior Managing[...]
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Turning SEC Exam Downtime into Opportunity | Chuck Martin Insights
November 11, 2025Vigilant Insights Introduction As the government shutdown continues to stall regulatory operations, many Firms undergoing SEC Examinations have been left[...]
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