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
Outsourced Compliance: When Is the Time Right?
September 15, 2026Vigilant Insights Introduction For many Investment Advisers, the question is not whether Compliance is important, it is whether the Firm[...]
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Vigilant Insights
40 Act Fund Launch Compliance Considerations
September 15, 2026Vigilant Insights Introduction Launching a Registered Investment Company (RIC) involves a range of regulatory, operational, and compliance considerations that should[...]
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Vigilant Insights
Is Your Rule 206(4)-7 Annual Review Complete?
September 15, 2026Vigilant Insights Introduction Rule 206(4)-7 requires SEC RIAs to review their compliance policies and procedures at least annually to determine[...]
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Revisiting the Marketing Rule | Vigilant Insights
September 14, 2026Vigilant Insights Introduction The SEC Marketing Rule has been in effect for several years, giving Advisers time to implement the[...]
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Third-Party Rankings: A Compliance Reminder for Firms
August 25, 2026Vigilant Insights Introduction A recent report involving a senior Forbes editor and an undisclosed $6 million payment from the Founder[...]
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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[...]
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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[...]
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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[...]
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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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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[...]
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