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
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[...]
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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[...]
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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[...]
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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[...]
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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[...]
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FINRA’s New $300 Gift Limit | Deane Armstrong Insights
February 23, 2026Vigilant Insights Introduction The SEC has approved revisions to FINRA’s Rule 3220, increasing the annual gift limit for member Firms[...]
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Why Independent Compliance Providers Matter More Than Ever
February 18, 2026Vigilant Insights Introduction In recent years, the Outsourced Compliance industry has experienced a notable rise in Mergers and Acquisitions (M&A),[...]
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Performance Projections Proposal | Vigilant Insights
February 18, 2026Vigilant Insights Introduction On February 11, 2026, FINRA released a Proposal that could reshape how Broker Dealers use Performance Projections[...]
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SEC Registration Compliance Considerations
February 04, 2026Vigilant Insights Introduction SEC Registration is a key regulatory milestone for Investment Advisers. Whether driven by asset growth, a new[...]
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Retail Alts Compliance Considerations
February 02, 2026Vigilant Insights Introduction The landscape of Alternative Investments has expanded significantly over the last decade, with Retail Investors gaining access[...]
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Navigating Private Fund Marketing Rules | Vigilant Insights
January 28, 2026Vigilant Insights Introduction Private Fund Managers continue to face increasing scrutiny around how they market their strategies, performance, and expertise.[...]
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Marketing Rule FAQ Updates | Maxwell Baker Insights
January 21, 2026Vigilant Insights Introduction The SEC has issued updated guidance to its Marketing Rule FAQs, aiming to address on-going industry confusion[...]
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