Vigilant Insights
Debunking 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 […]
Read MoreWhen Should an RIA Consider a Mock Examination?
VIGILANT INSIGHTS Introduction For SEC Registered Investment Advisers (RIAs), regulatory compliance isn’t just a box to check, it’s an ongoing responsibility that can significantly impact your […]
Read MoreIAA Requests Reconsideration of AML Rules | Maxwell Baker Insights
Vigilant Insights Introduction The Investment Advisor Association (IAA) has asked for the comment period to be reopened for rules approved last year by the SEC […]
Read MoreETF/Mutual Fund Dual Share Class Anticipated Approval | Salvatore Faia Insights
Vigilant Insights Introduction It is anticipated that the SEC may approve the majority of exemptive relief applications for the dual share class structure. This will […]
Read MoreCompliance Consulting Reimagined Under the SEC’s New Direction
Vigilant Insights Introduction With Paul Atkins now leading the SEC, there is a noticeable shift in regulatory philosophy that emphasizes transparency, consistency, and a less […]
Read MoreMaximize 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 […]
Read MoreProtect 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 […]
Read MoreUpdated 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 […]
Read MoreMarketing 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 […]
Read MoreDual-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 […]
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