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RIA and CEO Charged for Fraudulent Billing
SEC Releases Introduction The SEC charged a Chicago RIA, and its CEO, on July 3rd for charging improper fees. The SEC alleges that the Firm […]
Read MoreWhen Should an RIA Consider a Mock Examination?
VIGILANT INSIGHTS Introduction For SEC Registered Investment Advisers (RIAs), regulatory compliance isn’t just a box to check, it’s an ongoing responsibility that can significantly impact your […]
Read MoreVigilant Shortlisted for Alternative Credit Compliance Award
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the 2025 Compliance Service of the Year Award by Alternative Credit Investor for their Alternative […]
Read MoreVigilant Compliance Newsletter | June 2025
Monthly Newsletter Printer Friendly Version In June, there were important releases including SEC Releases and a Vigilant Shortlist Award Announcement. Below is a brief overview […]
Read MoreSEC Office of the Investor Advocate Releases FY 2026 Objectives
SEC Releases Introduction The SEC’s Office of Investor Advocate (OIAD) was designed to assist retail investors with resolving any significant problems that may occur with […]
Read MoreVigilant Shortlisted for Hedge Fund Compliance Award
Vigilant Announcements Building off of our With Intelligence Hedge Fund Manager (“HFM”) Award Win last year, Vigilant is thrilled to announce that we have been shortlisted as the Best Advisory Firm – […]
Read MoreCustody Rule and Disclosure Violations
SEC Releases Introduction The SEC obtained a final judgement against a New York RIA this month (June, 2025) for failing to comply with Commission requirements […]
Read MoreFirm Charged for Fraudulent Press Release Statements
SEC Releases Introduction While the industry continues to see some relief from the rulemaking of the previous administration, there are still frequent reminders that investigations […]
Read MoreSEC Withdraws 14 Proposed Rules
SEC Releases Introduction The SEC has just withdrawn 14 Proposed Rules from the prior Administration. Majority of the withdrawn Proposed Rules stem from between March […]
Read MoreSEC Chair Testimony Before Senate Subcommittee | Key Takeaways
SEC Releases Introduction SEC Chair, Paul Atkins, provided a testimony to the United States Senate Appropriations Subcommittee on Financial Services and General Government earlier this […]
Read MoreRIA Charged for Disclosure Failures and Misleading Statements
SEC Releases Introduction An RIA was charged this month (June, 2025) for failing in their fiduciary duties. The Firm allegedly made false and misleading fee […]
Read MoreSEC’s Emerging Trends in Asset Management Conference | Key Takeaways
SEC RELEASES Introduction The SEC held its 2025 Conference on Emerging Trends in Asset Management to explore how innovation, regulation, and shifting investor dynamics are […]
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