Vigilant Insights
When 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 […]
Read MoreFINRA’s New $300 Gift Limit | Deane Armstrong Insights
Vigilant Insights Introduction The SEC has approved revisions to FINRA’s Rule 3220, increasing the annual gift limit for member Firms and their associated persons. For […]
Read MoreWhy Independent Compliance Providers Matter More Than Ever
Vigilant Insights Introduction In recent years, the Outsourced Compliance industry has experienced a notable rise in Mergers and Acquisitions (M&A), with many Firms being acquired […]
Read MorePerformance Projections Proposal | Vigilant Insights
Vigilant Insights Introduction On February 11, 2026, FINRA released a Proposal that could reshape how Broker Dealers use Performance Projections in Marketing Materials. FINRA has […]
Read MoreSEC 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 […]
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