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.
SEC Moves to Modernize Small Entity Thresholds
January 09, 2026SEC Releases Brief Introduction On January 7, 2026, the SEC announced a Proposed Rule to modernize and expand the definitions[...]
Read Article
When Does Outsourcing Compliance Make Sense?
January 08, 2026Vigilant Insights Introduction Compliance has become increasingly complex for Investment Advisers, Registered Funds, and Private Fund Managers. Regulatory expectations continue[...]
Read Article
The 2026 Compliance Outlook | Vigilant Insights
January 07, 2026Vigilant Insights Brief Introduction While many Firms have spent recent years implementing significant new Rules, the focus has now shifted[...]
Read Article
Vigilant Compliance Newsletter | December 2025
January 02, 2026Monthly Newsletter Printer Friendly Version In December, there were important releases including Vigilant Announcements, Vigilant Insights, and SEC Releases. Below[...]
Read Article
Retail Alts to Evolve in Measured Steps | Bernadette Murphy Insights
December 31, 2025Vigilant Insights Introduction The SEC is signaling a more measured and flexible approach to regulating retail alternative investments, offering Asset Managers[...]
Read Article
Vigilant Shortlisted for ETF & Mutual Fund Compliance Award
December 23, 2025Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following award below by With Intelligence for their 2026 Mutual Fund &[...]
Read Article
Marketing Rule Risk Alert | Laura Arnott Insights
December 22, 2025Vigilant Insights Introduction On December 16, 2025, the SEC’s Division of Examinations issued a Risk Alert addressing on-going compliance weaknesses[...]
Read Article
Reg S-P Sweep Exams in Effect | Vigilant Insights
December 16, 2025Vigilant Insights Introduction On December 3rd, 2025, the Regulation S-P (“Reg S-P”) Rule Amendments went into effect for Large Advisers[...]
Read Article
SEC Commissioner Crenshaw Raises Concerns on Market Direction
December 15, 2025SEC Releases Introduction On December 11th, 2025, SEC Commissioner, Caroline A. Crenshaw, delivered a candid assessment of the current direction[...]
Read Article
SEC Outlook | Brian Daly’s (SEC Director of IM) Remarks
December 09, 2025SEC Releases Introduction On December 2, 2025, the newly appointed Director of the SEC’s Division of Investment Management, Brian Daly,[...]
Read Article
Vigilant Wins Institutional Asset Manager Compliance Services Award
December 05, 2025Vigilant Announcements Vigilant is thrilled to announce that for the third year in a row, we have been selected as the 2025 Best Regulatory &[...]
Read Article
Alts & Retail Risks Lead SEC Agenda | Donna DiMaria Insights
December 02, 2025Vigilant Insights Introduction The SEC’s newly released 2026 Examination Priorities place a renewed emphasis on the risks Alternative Investments pose[...]
Read Article