Vigilant Insights Archives

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. […]

Is Deepseek AI Safe to Use? | Chuck Martin Insights

VIGILANT INSIGHTS Introduction When the AI model, DeepSeek, was announced recently, investors reacted swiftly to a high-performance AI model with allegedly only $6 million in […]

How to Navigate Private Fund Compliance in 2025?

VIGILANT INSIGHTS Introduction This past year had Private Fund Compliance Programs on a heightened sense of awareness. Private Fund rules initially adopted in 2023, with […]

Adapting to the New Regulatory Landscape | Chuck Martin Insights

VIGILANT INSIGHTS Introduction The SEC recently announced a record number of enforcements for Q1 of FY 2025. The announcement occurred in midst of an on-going […]

Disclosure Errors for Registered Funds | Liam Clarke Insights

Vigilant Insights Introduction The SEC’s Investment Management Unit reported this month (January 2025) that many ETFs, Mutual Funds, and Money Market Funds have errors in […]