Vigilant Insights
How 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 […]
Read MoreThe 2026 Compliance Outlook | Vigilant Insights
Vigilant Insights Brief Introduction While many Firms have spent recent years implementing significant new Rules, the focus has now shifted toward operational execution, testing, and […]
Read MoreRetail Alts to Evolve in Measured Steps | Bernadette Murphy Insights
Vigilant Insights Introduction The SEC is signaling a more measured and flexible approach to regulating retail alternative investments, offering Asset Managers room to innovate while maintaining […]
Read MoreMarketing Rule Risk Alert | Laura Arnott Insights
Vigilant Insights Introduction On December 16, 2025, the SEC’s Division of Examinations issued a Risk Alert addressing on-going compliance weaknesses related to the Marketing Rule […]
Read MoreReg S-P Sweep Exams in Effect | Vigilant Insights
Vigilant Insights Introduction On December 3rd, 2025, the Regulation S-P (“Reg S-P”) Rule Amendments went into effect for Large Advisers with over $1.5 Billion in […]
Read MoreAlts & Retail Risks Lead SEC Agenda | Donna DiMaria Insights
Vigilant Insights Introduction The SEC’s newly released 2026 Examination Priorities place a renewed emphasis on the risks Alternative Investments pose to Retail Investors, marking a […]
Read MoreStreamlining 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 […]
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