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
Q2 2026 Compliance Trends | Vigilant Insights
August 05, 2026Vigilant Insights Introduction Q2 2026 continued to reinforce a familiar message from regulators: Firms must demonstrate that their compliance programs[...]
Read Article
Vigilant Insights
Is Your Compliance Consultant Meeting Your Expectations? How Vigilant Differs
July 13, 2026Vigilant Insights Introduction Choosing a Compliance Consultant is more than satisfying a regulatory requirement, it is about finding a trusted[...]
Read Article
Vigilant Insights
SEC Risk Alert Reveals Common Billing and Disclosure Deficiencies
June 17, 2026Vigilant Insights Introduction The SEC recently issued a Risk Alert highlighting deficiencies identified during examinations of Investment Advisers related to[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
Vigilant Insights
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[...]
Read Article
Vigilant Insights
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[...]
Read Article
Vigilant Insights
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[...]
Read Article
Vigilant Insights
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[...]
Read Article
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[...]
Read Article
Vigilant Insights
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[...]
Read Article