Vigilant Insights Archives

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 […]

Protect Your Acquisition: Outsourced Compliance Due Diligence

Vigilant Insights Who Is This Applicable To? Firms that are considering acquiring an Investment Adviser. Introduction When acquiring an Investment Adviser, conducting a thorough Compliance Due […]

Updated Marketing Rule Guidance | Will Clark Insights

VIGILANT INSIGHTS Introduction The SEC updated its Marketing Rule FAQ on Wednesday, March 19th, 2025, with Vigilant providing the key takeaways for industry professionals. The […]

Marketing Rule Guidance Expected by the Industry | Will Clark Insights

VIGILANT INSIGHTS Introduction Early on at the Investment Adviser Association (IAA) Conference, there was chatter that later in the Conference did indeed lead led to hints by […]

Dual-Hat CCO Support: How Vigilant Compliance Can Help

Vigilant Insights Introduction At Vigilant Compliance (“Vigilant”), our team of seasoned Compliance Professionals can provide a wide variety of services, enabling firms to navigate complex […]

The Language of Expected Returns | Bernadette Murphy Insights

VIGILANT INSIGHTS Introduction Under the SEC’s Marketing Rule, firms are prohibited from advertising hypothetical performance unless it is for a targeted audience and all material […]

How can a Dual Hat CCO Benefit from a Compliance Consultant?

Vigilant Insights Introduction Dual Hatted Chief Compliance Officers (“CCOs”) face unique challenges, which makes Outsourced Compliance Support particularly valuable for them. As we have seen with Dual […]

Unlock Compliance Efficiency: The Benefits of Outsourcing the CCO Role

Vigilant Insights Introduction For SEC Registered Investment Advisers (“RIAs”), maintaining compliance with ever-evolving regulatory requirements is crucial to avoid potential penalties and ensure smooth business operations. […]