Vigilant Insights
When 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 […]
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 […]
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