Vigilant Compliance Newsletter

Published on Aug 3rd, 2026 |

Monthly Newsletter

In July, there were important releases including Vigilant Announcements, Vigilant Insights and SEC Releases.

Below is a brief overview of what took place in the month of July, and what is approaching for August.

Vigilant Announcements:

Vigilant Shortlisted for 2026 Hedgeweek US Awards

After getting the four (4) peat last year for the Hedgeweek US Awards as the Best Regulatory Advisory & Compliance Firm, Vigilant looks to make it a fifth consecutive year as we have been shortlisted as the Regulatory & Compliance Firm of the Year: Onshore & Offshore.
To learn more or to vote for Vigilant, click here.

Vigilant is thrilled to announce that we have been shortlisted as the Best Advisory Firm: Regulation and Compliance for the 2026 With Intelligence Hedge Fund US Service Awards.
Read more about the shortlisting here.

Vigilant Insights:

Choosing a Compliance Consultant is more than satisfying a regulatory requirement, it is about finding a trusted partner that understands your business and helps you navigate an increasingly complex regulatory environment.
At Vigilant, we regularly speak with Firms that are considering a change in Compliance Providers. While every situation is unique, many Firms share similar frustrations with their current consulting relationship.
Click here for more on common compliance consultant pain points.

SEC Releases:

Chairman Atkins Outlines Regulatory Vision

In remarks delivered to the Economic Club of New York, SEC Chairman, Paul Atkins outlined his vision for returning the Commission to what he described as its “First Principles.”
Chairman Atkins stated that the SEC’s regulatory framework should remain focused on its core mission of protecting investors, facilitating capital formation, and maintaining fair, orderly, and efficient markets.
Key takeaways on Chairman Atkins’ remarks here.

The SEC announced settled charges for a civil penalty of $125,000 against a former registered investment adviser representative for failing to adequately disclose material conflicts of interest associated with recommendations of private real estate investments.
According to the SEC, the adviser recommended more than $50 million of private real estate securities offerings to advisory clients while receiving both direct and indirect compensation from the offering sponsors. This created conflicts of interest that were not disclosed to clients.
More information here.

The SEC charged a $14 Billion RIA with multiple ETFs $400,000 for multiple violations of the Investment Company Act of 1940, including breaching Rule 18f-4.
According to the SEC, the violations involved prohibited affiliated transactions, Rule 18f-4 derivatives risk management and reporting requirements, required shareholder notices, and compliance program deficiencies.
Vigilant’s Chief Operating Officer, Chuck Martin, provided his thoughts on the charges. Click here to read Chuck’s insights and more.

The Vigilant Team is always happy to schedule a time to chat, feel free to contact us with any questions!