SEC Enforcement: Pre-IPO Fund Practices Under Scrutiny
August 14, 2026SEC Releases Introduction On August 10, 2026, the SEC charged a New York Investment Adviser that managed Private Funds investing in Pre-IPO Companies (such as […]
Over $5 Trillion
In Client Assets Under Management.
Over 21 Years
Providing Compliance Services since August 15th, 2004.
Over 850+
Years of Collective Experience in the Investment Management and Financial Services Industry.
Vigilant
Vigilant is an award-winning and industry-leading firm with over 21 years of expertise. As a full-service Outsourced Compliance Provider, we specialize in offering comprehensive compliance solutions to Registered Investment Advisers (RIAs) and Broker-Dealers. Our clients include a diverse range of RIAs, such as Private Equity firms, Hedge Funds, Closed-End Funds, ETFs, Mutual Funds, Real Estate Funds, and more.
Vigilant also has a FINRA Registered Broker Dealer that provides Registered Representative Services to Third Party Marketers, Wholesalers, M&A activity, Private Placements and more to firms/individuals that target Institutional Clients only. We also provide Statutory Distributor Services (Principal Underwriter) to Registered Funds (ETFs, Closed End/Interval Funds, Mutual Funds) that range from Millions to Multi-Billions in Assets Under Management (AUM). A core function performed within both of those Services is Marketing and Advertising Review through our team of Series 24 Licensed Professionals at a quick turnaround time on Marketing and Advertising material submissions.
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Industry Insights
Vigilant delivers thorough and detailed coverage of SEC Releases, such as Risk Alerts and SEC Enforcement Actions, along with Vigilant Insights and Thought Leadership. With a Team boasting over 850 years of collective experience in the Financial Services and Investment Management industry, we make sure our content is expertly curated and enhanced for optimal relevance and impact.
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Q2 2026 Compliance Trends | Vigilant Insights
August 5, 2026Vigilant Insights Introduction Q2 2026 continued to reinforce a familiar message from regulators: Firms must demonstrate that their compliance programs are effective in practice, particularly […]
Q2 2026 Compliance Trends | Vigilant Insights
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$489k SEC Enforcement Action | Advisory Fee Practices Lessons
August 4, 2026SEC Releases Introduction The SEC recently announced a settled enforcement action against a $357 Million AUM RIA (Wealth Manager with a separately registered Broker/Dealer) for […]