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
The Reg S-P Deadline Has Passed | Is Your Firm Ready?
June 11, 2026Vigilant Insights Introduction As of June 3, 2026, RIAs with less than $1.5 Billion in Assets Under Management (AUM) are[...]
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Vigilant Insights
Breakaway Advisor Compliance: Where to Start
May 27, 2026Vigilant Insights Introduction More Financial Advisors are choosing to leave Broker Dealers and Wirehouses to launch or join independent Registered[...]
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Vigilant Insights
SEC Enforcement: What’s Ahead for Private Markets
May 20, 2026Vigilant Insights Introduction In remarks at the MFA Legal & Compliance 2026 Conference, David Woodcock, Director of the SEC Division[...]
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Navigating Cyber Threats: What RIAs Should Be Doing Now
May 04, 2026Vigilant Insights Introduction Cybersecurity continues to be a growing area of focus for Registered Investment Advisers (“RIAs”), particularly as data[...]
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When Do RIAs Consider an OCCO? | 5 Scenarios
April 27, 2026Vigilant Insights Introduction For SEC RIAs, the compliance function has become increasingly complex, resource-intensive, and scrutinized. Regulatory expectations continue to[...]
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AI Compliance Considerations
April 14, 2026Vigilant Insights Introduction AI is quickly becoming part of how RIAs operate, whether through Portfolio Management tools, client communications, trading[...]
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Q1 2026 Compliance Trends | Vigilant Insights
April 14, 2026Vigilant Insights Introduction So far in 2026, both the SEC and FINRA are reinforcing a familiar message, Firms must demonstrate[...]
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Vigilant Insights
When Are RIAs Conducting Mock Exams?
March 10, 2026Vigilant Insights Introduction Mock Exams have become an important area of consideration for many Registered Investment Advisers (“RIAs”) of all[...]
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SEC Proposes N-PORT Relief | Fred Teufel Insights
February 25, 2026Vigilant Insights Introduction On February 19, 2026, the SEC announced Proposed Amendments designed to reduce certain operational burdens associated with[...]
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FINRA’s New $300 Gift Limit | Deane Armstrong Insights
February 23, 2026Vigilant Insights Introduction The SEC has approved revisions to FINRA’s Rule 3220, increasing the annual gift limit for member Firms[...]
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Why Independent Compliance Providers Matter More Than Ever
February 18, 2026Vigilant Insights Introduction In recent years, the Outsourced Compliance industry has experienced a notable rise in Mergers and Acquisitions (M&A),[...]
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Performance Projections Proposal | Vigilant Insights
February 18, 2026Vigilant Insights Introduction On February 11, 2026, FINRA released a Proposal that could reshape how Broker Dealers use Performance Projections[...]
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