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SEC Risk Alert | Annual Compliance Review Observations
SEC Releases Introduction On September 14, 2026, the SEC Division of Examinations issued a Risk Alert highlighting observations from recent examinations regarding Investment Advisers’ annual […]
Read MoreOutsourced Compliance: When Is the Time Right?
Vigilant Insights Introduction For many Investment Advisers, the question is not whether Compliance is important, it is whether the Firm has the right resources, experience, […]
Read More40 Act Fund Launch Compliance Considerations
Vigilant Insights Introduction Launching a Registered Investment Company (RIC) involves a range of regulatory, operational, and compliance considerations that should be addressed before the Fund […]
Read MoreIs Your Rule 206(4)-7 Annual Review Complete?
Vigilant Insights Introduction Rule 206(4)-7 requires SEC RIAs to review their compliance policies and procedures at least annually to determine whether they remain adequate and […]
Read MoreRevisiting the Marketing Rule | Vigilant Insights
Vigilant Insights Introduction The SEC Marketing Rule has been in effect for several years, giving Advisers time to implement the requirements and the SEC time […]
Read MoreForm 13F Filing Failures | $500k Penalty
SEC Releases Introduction The SEC recently announced settled charges for $500,000 against a Dually Registered Investment Adviser and Broker Dealer for failing to file required […]
Read More“Pay-to-Play” Rule | SEC Proposes Rescission
SEC Releases Introduction On September 3, 2026, the SEC proposed rescinding Rule 206(4)-5 under the Investment Advisers Act of 1940, commonly known as the “Pay-to-Play […]
Read MoreVigilant Compliance Newsletter | August 2026
Monthly Newsletter Printer Friendly Version In August, there were important releases including Vigilant Announcements, Vigilant Insights, and SEC Releases. Below is a brief overview of what […]
Read MoreSEC Risk Alert | Lost Securityholder Rule Compliance
SEC Releases Introduction The SEC’s Division of Examinations issued a Risk Alert on August 28th, 2026, regarding compliance with Exchange Act Rule 17Ad-17, known as […]
Read MoreVigilant Shortlisted for Two ETF Awards
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following Awards below by ETF Express for their 2026 US ETF Awards. Best ETF Regulatory/Compliance Adviser Best […]
Read MoreThird-Party Rankings: A Compliance Reminder for Firms
Vigilant Insights Introduction A recent report involving a senior Forbes editor and an undisclosed $6 million payment from the Founder of Shook Research has raised […]
Read MoreVigilant Recognized with 3 Private Equity Compliance Award Shortlisting’s
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following Awards below by Private Equity Wire for their US Awards. Regulatory and Compliance Firm of the […]
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