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.
Marketing Rule Guidance Expected by the Industry | Will Clark Insights
March 11, 2025VIGILANT INSIGHTS Introduction Early on at the Investment Adviser Association (IAA) Conference, there was chatter that later in the Conference did[...]
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Acting Chair Mark Uyeda Recent Speeches | Key Takeaways
March 05, 2025SEC RELEASES Introduction As of March 5th, 2025, Acting SEC Chair, Mark Uyeda, has discussed his view of the SEC’s[...]
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Vigilant Compliance Newsletter | February 2025
March 02, 2025Monthly Newsletter Printer Friendly Version In February, there were notable releases featuring both Vigilant Insights and SEC Releases content. Below is a[...]
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Dual-Hat CCO Support: How Vigilant Compliance Can Help
February 26, 2025Vigilant 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, 2025VIGILANT INSIGHTS Introduction Under the SEC’s Marketing Rule, firms are prohibited from advertising hypothetical performance unless it is for a[...]
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SEC Announces Cyber and Emerging Technologies Unit (CETU)
February 20, 2025SEC RELEASES Introduction With Cybersecurity and Artificial Intelligence as top priorities for the SEC in 2025, the SEC announced February[...]
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How can a Dual Hat CCO Benefit from a Compliance Consultant?
February 20, 2025Vigilant 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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RIA Charged for Breaching Fiduciary Duty
February 18, 2025SEC RELEASES Introduction The SEC charged a New York RIA, and one of its former Investment Advisors, for misconduct involving[...]
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Unlock Compliance Efficiency: The Benefits of Outsourcing the CCO Role
February 13, 2025Vigilant 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, 2025VIGILANT INSIGHTS Introduction When the AI model, DeepSeek, was announced recently, investors reacted swiftly to a high-performance AI model with[...]
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How to Navigate Private Fund Compliance in 2025?
February 06, 2025VIGILANT INSIGHTS Introduction This past year had Private Fund Compliance Programs on a heightened sense of awareness. Private Fund rules[...]
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Vigilant Compliance Newsletter | January 2025
February 02, 2025Monthly Newsletter Printer Friendly Version In January, there were important releases that contained both Vigilant Insights and SEC Releases content. There was also[...]
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