Vigilant Insights
Streamlining 15(c) Reporting | Salvatore Faia Insights
Vigilant Insights Introduction Fund Boards are increasingly reevaluating the volume and relevance of their Annual 15(c) Materials, working to eliminate redundant or obsolete information, streamline […]
Read MoreWebinar Replay: RIA Dealmaking
Vigilant Insights Recently, Vigilant’s President & CEO, Salvatore Faia, Esq., CPA, CFE, participated on a Thompson Hine Webinar with Andy Davalla (Partner) and Shelbie Harvey (Senior Managing Associate). This Webinar explored the […]
Read MoreTurning SEC Exam Downtime into Opportunity | Chuck Martin Insights
Vigilant Insights Introduction As the government shutdown continues to stall regulatory operations, many Firms undergoing SEC Examinations have been left in an uncertain position. With […]
Read MoreReg S-P Alert for Large Firms
Vigilant Insights Introduction Regulation S-P (“Reg S-P”) is an SEC Privacy Rule that requires Financial Firms to protect their Clients’ Personal Information. It governs how Customer […]
Read MoreClosed-End Fund Structures: Which One Fits Your Firm?
Vigilant Insights Introduction Closed-End Funds continue to evolve as Investment Managers seek innovative ways to access capital, deliver liquidity options to investors, and align Fund […]
Read MoreCommon Compliance Mishaps | How Vigilant Compliance Can Help
Vigilant Insights Introduction In today’s evolving regulatory landscape, even well-intentioned Firms can face challenges in maintaining full compliance with SEC and/or FINRA requirements. Small oversights […]
Read MoreEssential Year-End Compliance Considerations for RIAs and RICs
Vigilant Insights Introduction As 2025 enters its final quarter, Registered Investment Advisers (“RIAs”) and Registered Funds (“RICs”) face an evolving regulatory environment and important registration […]
Read MoreBalancing Opportunity and Protection in Alts | Bill Speacht Insights
Vigilant Insights Introduction The SEC’s Investor Advisory Committee (IAC) recently issued recommendations to expand retail investor access to alternative investments through registered vehicles. These developments […]
Read MoreThe Case for Outsourced PFO Services in Today’s Registered Fund Ecosystem
Vigilant Insights The Evolving Demands on Registered Fund Boards In the world of Registered Investment Companies (“RICs”), Boards play a role quite different from those […]
Read MoreDebunking Common Misconceptions About Outsourced Compliance for RIAs, RICs, and Broker Dealers
Vigilant Insights Introduction As regulatory expectations grow in complexity, many SEC Registered Investment Advisers (RIAs), SEC Registered Investment Companies (RICs), and FINRA Registered Broker-Dealers are […]
Read MoreCommon Marketing Review Mistakes and How to Improve Them: A Guide for RIAs, RICs, and Broker Dealers
Vigilant Insights Introduction In the ever-evolving landscape of Marketing and Advertising, SEC Registered Investment Advisers (“RIAs”), SEC Registered Investment Companies (“RICs”), and FINRA Registered Broker-Dealers […]
Read MoreWhy Private Fund Managers are Turning to Closed-End Funds
Vigilant Insights The Growing Appeal of Closed-End Funds for Private Fund Managers: Unlocking Liquidity and Broader Investor Access Vigilant continues to see a trend surrounding […]
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