Blog
Vigilant 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 […]
Read MoreSEC Enforcement: Pre-IPO Fund Practices Under Scrutiny
SEC 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 […]
Read MoreQ2 2026 Compliance Trends | Vigilant Insights
Vigilant Insights Introduction Q2 2026 continued to reinforce a familiar message from regulators: Firms must demonstrate that their compliance programs are effective in practice, particularly […]
Read More$489k SEC Enforcement Action | Advisory Fee Practices Lessons
SEC 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 […]
Read MoreVigilant Compliance Newsletter | July 2026
Monthly Newsletter Printer Friendly Version In July, there were important releases including Vigilant Announcements, Vigilant Insights and SEC Releases. Below is a brief overview of what took […]
Read More$400k 18f-4 Fine for ETF Compliance Failures
SEC Releases Introduction The SEC charged a $14 Billion RIA with multiple ETFs $400,000 for multiple violations of the Investment Company Act of 1940, including […]
Read MoreUndisclosed Conflicts Lead to $125k SEC Enforcement
SEC Releases Introduction The SEC recently announced settled charges for a civil penalty of $125,000 against a former registered investment adviser representative for failing to […]
Read MoreVigilant Shortlisted for 2026 Hedgeweek US Awards
Vigilant Announcements 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 […]
Read MoreIs Your Compliance Consultant Meeting Your Expectations? How Vigilant Differs
Vigilant Insights Introduction Choosing a Compliance Consultant is more than satisfying a regulatory requirement, it is about finding a trusted partner that understands your business […]
Read MoreChairman Atkins Outlines Regulatory Vision
SEC Releases Introduction In remarks delivered to the Economic Club of New York, SEC Chairman, Paul Atkins outlined his vision for returning the Commission to […]
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