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, 2025

Vigilant 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, 2025

Vigilant 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, 2025

Vigilant Insights Introduction With Paul Atkins now leading the SEC, there is a noticeable shift in regulatory philosophy that emphasizes[...]

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Maximize Compliance Efficiency: The Case for an Outsourced CCO

April 07, 2025

Vigilant Insights Introduction The decision to transition to an outsourced Chief Compliance Officer (“CCO”) is often driven by a variety[...]

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Protect Your Acquisition: Outsourced Compliance Due Diligence

April 03, 2025

Vigilant Insights Who Is This Applicable To? Firms that are considering acquiring an Investment Adviser. Introduction When acquiring an Investment[...]

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Updated Marketing Rule Guidance | Will Clark Insights

March 24, 2025

VIGILANT INSIGHTS Introduction The SEC updated its Marketing Rule FAQ on Wednesday, March 19th, 2025, with Vigilant providing the key[...]

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Marketing Rule Guidance Expected by the Industry | Will Clark Insights

March 11, 2025

VIGILANT INSIGHTS Introduction Early on at the Investment Adviser Association (IAA) Conference, there was chatter that later in the Conference did[...]

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Dual-Hat CCO Support: How Vigilant Compliance Can Help

February 26, 2025

Vigilant Insights Introduction At Vigilant Compliance (“Vigilant”), our team of seasoned Compliance Professionals can provide a wide variety of services,[...]

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The Language of Expected Returns | Bernadette Murphy Insights

February 25, 2025

VIGILANT INSIGHTS Introduction Under the SEC’s Marketing Rule, firms are prohibited from advertising hypothetical performance unless it is for a[...]

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How can a Dual Hat CCO Benefit from a Compliance Consultant?

February 20, 2025

Vigilant Insights Introduction Dual Hatted Chief Compliance Officers (“CCOs”) face unique challenges, which makes Outsourced Compliance Support particularly valuable for them. As[...]

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Unlock Compliance Efficiency: The Benefits of Outsourcing the CCO Role

February 13, 2025

Vigilant Insights Introduction For SEC Registered Investment Advisers (“RIAs”), maintaining compliance with ever-evolving regulatory requirements is crucial to avoid potential penalties[...]

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Is Deepseek AI Safe to Use? | Chuck Martin Insights

February 11, 2025

VIGILANT INSIGHTS Introduction When the AI model, DeepSeek, was announced recently, investors reacted swiftly to a high-performance AI model with[...]

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