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
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[...]
Read Article
Vigilant Insights
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[...]
Read Article
Vigilant Insights
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[...]
Read Article
Vigilant Insights
Maximize Compliance Efficiency: The Case for an Outsourced CCO
April 07, 2025Vigilant Insights Introduction The decision to transition to an outsourced Chief Compliance Officer (“CCO”) is often driven by a variety[...]
Read Article
Vigilant Insights
Protect Your Acquisition: Outsourced Compliance Due Diligence
April 03, 2025Vigilant Insights Who Is This Applicable To? Firms that are considering acquiring an Investment Adviser. Introduction When acquiring an Investment[...]
Read Article
Vigilant Insights
Updated Marketing Rule Guidance | Will Clark Insights
March 24, 2025VIGILANT INSIGHTS Introduction The SEC updated its Marketing Rule FAQ on Wednesday, March 19th, 2025, with Vigilant providing the key[...]
Read Article
Vigilant Insights
Marketing Rule Guidance Expected by the Industry | Will Clark Insights
March 11, 2025VIGILANT INSIGHTS Introduction Early on at the Investment Adviser Association (IAA) Conference, there was chatter that later in the Conference did[...]
Read Article
Vigilant Insights
Dual-Hat CCO Support: How Vigilant Compliance Can Help
February 26, 2025Vigilant Insights Introduction At Vigilant Compliance (“Vigilant”), our team of seasoned Compliance Professionals can provide a wide variety of services,[...]
Read Article
Vigilant Insights
The Language of Expected Returns | Bernadette Murphy Insights
February 25, 2025VIGILANT INSIGHTS Introduction Under the SEC’s Marketing Rule, firms are prohibited from advertising hypothetical performance unless it is for a[...]
Read Article
Vigilant Insights
How can a Dual Hat CCO Benefit from a Compliance Consultant?
February 20, 2025Vigilant Insights Introduction Dual Hatted Chief Compliance Officers (“CCOs”) face unique challenges, which makes Outsourced Compliance Support particularly valuable for them. As[...]
Read Article
Vigilant Insights
Unlock Compliance Efficiency: The Benefits of Outsourcing the CCO Role
February 13, 2025Vigilant Insights Introduction For SEC Registered Investment Advisers (“RIAs”), maintaining compliance with ever-evolving regulatory requirements is crucial to avoid potential penalties[...]
Read Article
Vigilant Insights
Is Deepseek AI Safe to Use? | Chuck Martin Insights
February 11, 2025VIGILANT INSIGHTS Introduction When the AI model, DeepSeek, was announced recently, investors reacted swiftly to a high-performance AI model with[...]
Read Article