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
How to Best Leverage and Utilize Outsourced Compliance
January 13, 2026Vigilant Insights Introduction Outsourced Compliance is most effective when it is treated as a strategic extension of a Firm’s operations,[...]
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Reg S-P Sweep Exams | Bernadette Murphy Insights
January 12, 2026Vigilant Insights Introduction In light of the recent Regulation S-P (Reg S-P) amendments, the SEC has begun examining certain Firms,[...]
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Vigilant Insights
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[...]
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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[...]
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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[...]
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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[...]
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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[...]
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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[...]
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Streamlining 15(c) Reporting | Salvatore Faia Insights
November 20, 2025Vigilant Insights Introduction Fund Boards are increasingly reevaluating the volume and relevance of their Annual 15(c) Materials, working to eliminate[...]
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Webinar Replay: RIA Dealmaking
November 13, 2025Vigilant Insights Recently, Vigilant’s President & CEO, Salvatore Faia, Esq., CPA, CFE, participated on a Thompson Hine Webinar with Andy Davalla (Partner) and Shelbie Harvey (Senior Managing[...]
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Turning SEC Exam Downtime into Opportunity | Chuck Martin Insights
November 11, 2025Vigilant Insights Introduction As the government shutdown continues to stall regulatory operations, many Firms undergoing SEC Examinations have been left[...]
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Vigilant Insights
Reg S-P Alert for Large Firms
November 04, 2025Vigilant Insights Introduction Regulation S-P (“Reg S-P”) is an SEC Privacy Rule that requires Financial Firms to protect their Clients’ Personal[...]
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