Vigilant Insights
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 […]
Read MoreIs 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 […]
Read MoreSEC 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, […]
Read MoreThe 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 […]
Read MoreBreakaway 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 […]
Read MoreSEC 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 […]
Read MoreNavigating 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 […]
Read MoreWhen Do RIAs Consider an OCCO? | 5 Scenarios
Vigilant Insights Introduction For SEC RIAs, the compliance function has become increasingly complex, resource-intensive, and scrutinized. Regulatory expectations continue to evolve, requiring Firms to maintain […]
Read MoreAI Compliance Considerations
Vigilant Insights Introduction AI is quickly becoming part of how RIAs operate, whether through Portfolio Management tools, client communications, trading analytics, or compliance monitoring systems. […]
Read MoreQ1 2026 Compliance Trends | Vigilant Insights
Vigilant Insights Introduction So far in 2026, both the SEC and FINRA are reinforcing a familiar message, Firms must demonstrate (not just document) effective compliance […]
Read MoreWhen Are RIAs Conducting Mock Exams?
Vigilant Insights Introduction Mock Exams have become an important area of consideration for many Registered Investment Advisers (“RIAs”) of all sizes ranging from multi-Billion in […]
Read MoreSEC Proposes N-PORT Relief | Fred Teufel Insights
Vigilant Insights Introduction On February 19, 2026, the SEC announced Proposed Amendments designed to reduce certain operational burdens associated with Form N-PORT reporting while maintaining […]
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