Vigilant Insights
SEC Registration Compliance Considerations
Vigilant Insights Introduction SEC Registration is a key regulatory milestone for Investment Advisers. Whether driven by asset growth, a new Fund launch, or changes to […]
Read MoreRetail Alts Compliance Considerations
Vigilant Insights Introduction The landscape of Alternative Investments has expanded significantly over the last decade, with Retail Investors gaining access to asset classes once limited […]
Read MoreNavigating Private Fund Marketing Rules | Vigilant Insights
Vigilant Insights Introduction Private Fund Managers continue to face increasing scrutiny around how they market their strategies, performance, and expertise. While the SEC’s modernized Marketing […]
Read MoreMarketing Rule FAQ Updates | Maxwell Baker Insights
Vigilant Insights Introduction The SEC has issued updated guidance to its Marketing Rule FAQs, aiming to address on-going industry confusion around the use of testimonials […]
Read MoreHow to Best Leverage and Utilize Outsourced Compliance
Vigilant Insights Introduction Outsourced Compliance is most effective when it is treated as a strategic extension of a Firm’s operations, not simply a task-based service […]
Read MoreReg S-P Sweep Exams | Bernadette Murphy Insights
Vigilant Insights Introduction In light of the recent Regulation S-P (Reg S-P) amendments, the SEC has begun examining certain Firms, underscoring a growing regulatory emphasis […]
Read MoreWhen Does Outsourcing Compliance Make Sense?
Vigilant Insights Introduction Compliance has become increasingly complex for Investment Advisers, Registered Funds, and Private Fund Managers. Regulatory expectations continue to expand, while examinations now […]
Read MoreThe 2026 Compliance Outlook | Vigilant Insights
Vigilant Insights Brief Introduction While many Firms have spent recent years implementing significant new Rules, the focus has now shifted toward operational execution, testing, and […]
Read MoreRetail Alts to Evolve in Measured Steps | Bernadette Murphy Insights
Vigilant Insights Introduction The SEC is signaling a more measured and flexible approach to regulating retail alternative investments, offering Asset Managers room to innovate while maintaining […]
Read MoreMarketing Rule Risk Alert | Laura Arnott Insights
Vigilant Insights Introduction On December 16, 2025, the SEC’s Division of Examinations issued a Risk Alert addressing on-going compliance weaknesses related to the Marketing Rule […]
Read MoreReg S-P Sweep Exams in Effect | Vigilant Insights
Vigilant Insights Introduction On December 3rd, 2025, the Regulation S-P (“Reg S-P”) Rule Amendments went into effect for Large Advisers with over $1.5 Billion in […]
Read MoreAlts & Retail Risks Lead SEC Agenda | Donna DiMaria Insights
Vigilant Insights Introduction The SEC’s newly released 2026 Examination Priorities place a renewed emphasis on the risks Alternative Investments pose to Retail Investors, marking a […]
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