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SEC 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 […]
Read MoreVigilant Shortlisted for Hedge Fund Compliance Award
Vigilant Announcements 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 MoreVigilant Compliance Newsletter | June 2026
Monthly Newsletter Printer Friendly Version In June, there were important releases including Industry Events, Vigilant Insights and SEC Releases. Below is a brief overview of what took […]
Read MoreCustody Rule and Annual Audit Failures Lead to $75,000 SEC Penalty
SEC Releases Introduction The SEC announced settled administrative proceedings against a $1.4 Billion ($22.3 Million in Pooled Investment Vehicles) RIA that served as the investment […]
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