Vigilant Insights Archives

Common Compliance Mishaps | How Vigilant Compliance Can Help

Vigilant Insights Introduction In today’s evolving regulatory landscape, even well-intentioned Firms can face challenges in maintaining full compliance with SEC and/or FINRA requirements. Small oversights […]

Essential Year-End Compliance Considerations for RIAs and RICs

Vigilant Insights Introduction As 2025 enters its final quarter, Registered Investment Advisers (“RIAs”) and Registered Funds (“RICs”) face an evolving regulatory environment and important registration […]

Balancing Opportunity and Protection in Alts | Bill Speacht Insights

Vigilant Insights Introduction The SEC’s Investor Advisory Committee (IAC) recently issued recommendations to expand retail investor access to alternative investments through registered vehicles. These developments […]

The Case for Outsourced PFO Services in Today’s Registered Fund Ecosystem

Vigilant Insights The Evolving Demands on Registered Fund Boards In the world of Registered Investment Companies (“RICs”), Boards play a role quite different from those […]

Debunking Common Misconceptions About Outsourced Compliance for RIAs, RICs, and Broker Dealers

Vigilant Insights Introduction As regulatory expectations grow in complexity, many SEC Registered Investment Advisers (RIAs), SEC Registered Investment Companies (RICs), and FINRA Registered Broker-Dealers are […]

Common Marketing Review Mistakes and How to Improve Them: A Guide for RIAs, RICs, and Broker Dealers

Vigilant Insights Introduction In the ever-evolving landscape of Marketing and Advertising, SEC Registered Investment Advisers (“RIAs”), SEC Registered Investment Companies (“RICs”), and FINRA Registered Broker-Dealers […]

Why Private Fund Managers are Turning to Closed-End Funds

Vigilant Insights The Growing Appeal of Closed-End Funds for Private Fund Managers: Unlocking Liquidity and Broader Investor Access Vigilant continues to see a trend surrounding […]

When Should an RIA Consider a Mock Examination?

VIGILANT INSIGHTS Introduction For SEC Registered Investment Advisers (RIAs), regulatory compliance isn’t just a box to check, it’s an ongoing responsibility that can significantly impact your […]

IAA Requests Reconsideration of AML Rules | Maxwell Baker Insights

Vigilant Insights Introduction The Investment Advisor Association (IAA) has asked for the comment period to be reopened for rules approved last year by the SEC […]

ETF/Mutual Fund Dual Share Class Anticipated Approval | Salvatore Faia Insights

Vigilant Insights Introduction It is anticipated that the SEC may approve the majority of exemptive relief applications for the dual share class structure. This will […]

Compliance Consulting Reimagined Under the SEC’s New Direction

Vigilant Insights Introduction With Paul Atkins now leading the SEC, there is a noticeable shift in regulatory philosophy that emphasizes transparency, consistency, and a less […]

Maximize Compliance Efficiency: The Case for an Outsourced CCO

Vigilant Insights Introduction The decision to transition to an outsourced Chief Compliance Officer (“CCO”) is often driven by a variety of practical considerations, particularly in […]