Vigilant Insights Archives

Outsourced Compliance: When Is the Time Right?

Vigilant Insights Introduction For many Investment Advisers, the question is not whether Compliance is important, it is whether the Firm has the right resources, experience, […]

40 Act Fund Launch Compliance Considerations

Vigilant Insights Introduction Launching a Registered Investment Company (RIC) involves a range of regulatory, operational, and compliance considerations that should be addressed before the Fund […]

Is Your Rule 206(4)-7 Annual Review Complete?

Vigilant Insights Introduction Rule 206(4)-7 requires SEC RIAs to review their compliance policies and procedures at least annually to determine whether they remain adequate and […]

Revisiting the Marketing Rule | Vigilant Insights

Vigilant Insights Introduction The SEC Marketing Rule has been in effect for several years, giving Advisers time to implement the requirements and the SEC time […]

Third-Party Rankings: A Compliance Reminder for Firms

Vigilant Insights Introduction A recent report involving a senior Forbes editor and an undisclosed $6 million payment from the Founder of Shook Research has raised […]

Q2 2026 Compliance Trends | Vigilant Insights

Vigilant Insights Introduction Q2 2026 continued to reinforce a familiar message from regulators: Firms must demonstrate that their compliance programs are effective in practice, particularly […]

Is Your Compliance Consultant Meeting Your Expectations? How Vigilant Differs

Vigilant Insights Introduction Choosing a Compliance Consultant is more than satisfying a regulatory requirement, it is about finding a trusted partner that understands your business […]

SEC Risk Alert Reveals Common Billing and Disclosure Deficiencies

Vigilant Insights Introduction The SEC recently issued a Risk Alert highlighting deficiencies identified during examinations of Investment Advisers related to fee billing practices, compensation arrangements, […]

The Reg S-P Deadline Has Passed | Is Your Firm Ready?

Vigilant Insights Introduction As of June 3, 2026, RIAs with less than $1.5 Billion in Assets Under Management (AUM) are now required to comply with […]

Breakaway Advisor Compliance: Where to Start

Vigilant Insights Introduction More Financial Advisors are choosing to leave Broker Dealers and Wirehouses to launch or join independent Registered Investment Advisers (“RIAs”) in pursuit […]

SEC Enforcement: What’s Ahead for Private Markets

Vigilant Insights Introduction In remarks at the MFA Legal & Compliance 2026 Conference, David Woodcock, Director of the SEC Division of Enforcement, outlined how he […]

Navigating Cyber Threats: What RIAs Should Be Doing Now

Vigilant Insights Introduction Cybersecurity continues to be a growing area of focus for Registered Investment Advisers (“RIAs”), particularly as data breaches impact Firms of all […]