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
Maximize Compliance Efficiency: The Case for an Outsourced CCO
April 07, 2025Vigilant Insights Introduction The decision to transition to an outsourced Chief Compliance Officer (“CCO”) is often driven by a variety[...]
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Vigilant Insights
Protect Your Acquisition: Outsourced Compliance Due Diligence
April 03, 2025Vigilant Insights Who Is This Applicable To? Firms that are considering acquiring an Investment Adviser. Introduction When acquiring an Investment[...]
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Vigilant Insights
Updated Marketing Rule Guidance | Will Clark Insights
March 24, 2025VIGILANT INSIGHTS Introduction The SEC updated its Marketing Rule FAQ on Wednesday, March 19th, 2025, with Vigilant providing the key[...]
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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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Vigilant Insights
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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Vigilant Insights
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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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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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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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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