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.


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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Adapting to the New Regulatory Landscape | Chuck Martin Insights
January 31, 2025VIGILANT INSIGHTS Introduction The SEC recently announced a record number of enforcements for Q1 of FY 2025. The announcement occurred[...]
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Form PF Amendments Compliance Date Extension
January 30, 2025SEC RELEASES Introduction On January 29th, 2025, the SEC and CFTC extended the compliance date for the amendments to Form[...]
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Disclosure Errors for Registered Funds | Liam Clarke Insights
January 29, 2025Vigilant Insights Introduction The SEC’s Investment Management Unit reported this month (January 2025) that many ETFs, Mutual Funds, and Money[...]
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Misleading Cybersecurity Disclosure Leads to SEC Charges
January 26, 2025SEC RELEASES Introduction On January 13, 2025, charges were announced against an Alternative Asset Management Company for false and misleading[...]
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SEC’s Anticipated Regulatory Outlook | Chuck Martin Insights
January 24, 2025Vigilant Insights Introduction The SEC started off their Fiscal Year with a record number of enforcement actions. As the industry anticipates[...]
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Improper Private Fund Expenses | Managers and Owner Charged
January 22, 2025SEC RELEASES Introduction The SEC settled charges against two (2) Fund Managers and the Sole Owner for expenses charged to[...]
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