Blog
Enhancing Transparency: SEC’s New Guidance for Closed End Funds Investing in Private Funds
SEC Releases Introduction On August 15, 2025, the SEC’s Division of Investment Management issued Accounting & Disclosure Information (“ADI”) 2025‑16, focusing on Registered Closed‑End Funds […]
Read MoreVigilant Shortlisted for 3 Private Equity Compliance Awards
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 MoreDebunking Common Misconceptions About Outsourced Compliance for RIAs, RICs, and Broker Dealers
Vigilant Insights Introduction As regulatory expectations grow in complexity, many SEC Registered Investment Advisers (RIAs), SEC Registered Investment Companies (RICs), and FINRA Registered Broker-Dealers are […]
Read MoreRIA Charged for Custody Rule Violations
SEC Releases Introduction The SEC charged an RIA on August 1st, 2025, for failing to comply with the independent verification requirements for Firms maintaining custody […]
Read MoreCommon Marketing Review Mistakes and How to Improve Them: A Guide for RIAs, RICs, and Broker Dealers
Vigilant Insights Introduction In the ever-evolving landscape of Marketing and Advertising, SEC Registered Investment Advisers (“RIAs”), SEC Registered Investment Companies (“RICs”), and FINRA Registered Broker-Dealers […]
Read MoreWhy Private Fund Managers are Turning to Closed-End Funds
Vigilant Insights The Growing Appeal of Closed-End Funds for Private Fund Managers: Unlocking Liquidity and Broader Investor Access Vigilant continues to see a trend surrounding […]
Read MoreVigilant Compliance Newsletter | July 2025
Monthly Newsletter Printer Friendly Version In July, there were important releases including Vigilant Insights, SEC Releases, and Vigilant Shortlist Award Announcements. Below is a brief […]
Read MoreFormer CCO Charged for Altering Documents during SEC Exam
SEC Releases Introduction The SEC charged the Former CCO and Vice President of an RIA on July 15th, 2025, for modifying compliance documents requested by […]
Read MoreVigilant Shortlisted for 2025 Hedgeweek US Awards
Vigilant Announcements After getting the three (3) peat last year for the Hedgeweek US Awards as the Best Regulatory Advisory & Compliance Firm, Vigilant looks to make it […]
Read MoreFinCen IA AML Rule Postponed
News and Alerts On July 21, 2025, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced its intention to postpone the effective date of the Anti-Money Laundering/Countering […]
Read MoreRIA Charged Nearly $2 Million for Multiple Compliance Failures
SEC Releases Introduction On July 11, 2025, the SEC charged a New York RIA for failing to disclose conflicts of interest, overbilling clients, and through […]
Read MoreFirm Charged Over $2 Million for False and Misleading Statements
SEC Releases Introduction An RIA was charged on June 30th for false and misleading statements made to investors. As the SEC continues its main goal […]
Read More