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SEC 2026 Compliance Outreach Programs: Key Takeaways for RIAs and RICs
Industry Events Introduction In May and June 2026, the SEC hosted virtual Compliance Outreach Program Regional Seminars for Investment Advisers and Investment Companies in Atlanta […]
Read MoreSEC Risk Alert Reveals Common Billing and Disclosure Deficiencies
Vigilant Insights Introduction The SEC recently issued a Risk Alert highlighting deficiencies identified during examinations of Investment Advisers related to fee billing practices, compensation arrangements, […]
Read MoreThe Reg S-P Deadline Has Passed | Is Your Firm Ready?
Vigilant Insights Introduction As of June 3, 2026, RIAs with less than $1.5 Billion in Assets Under Management (AUM) are now required to comply with […]
Read MoreSEC Enforcement Alert: Personal Trading and Compliance Lapses Lead to $1.5 Million Settlement
SEC Releases Introduction On June 8, 2026, the SEC announced settled charges against an RIA and its former CEO arising from alleged breaches of fiduciary […]
Read MoreVigilant Compliance Newsletter | May 2026
Monthly Newsletter Printer Friendly Version In May, there were important releases including Vigilant Events, Vigilant Insights and SEC Releases. Below is a brief overview of what took […]
Read More$201K Reg BI Enforcement Action: Lessons for Firms
SEC Releases Introduction The SEC charged a New York based Broker Dealer with failing to comply with Regulation Best Interest (“Reg BI”) in connection with Mutual Fund recommendations and […]
Read MoreBreakaway Advisor Compliance: Where to Start
Vigilant Insights Introduction More Financial Advisors are choosing to leave Broker Dealers and Wirehouses to launch or join independent Registered Investment Advisers (“RIAs”) in pursuit […]
Read MoreSEC Enforcement: What’s Ahead for Private Markets
Vigilant Insights Introduction In remarks at the MFA Legal & Compliance 2026 Conference, David Woodcock, Director of the SEC Division of Enforcement, outlined how he […]
Read MoreReg S-P Webinar Replay | Vigilant Events
Vigilant Events On Thursday, May 7th, 2026, Vigilant participated in a co-hosted Reg S-P Webinar with it’s affiliated Cybersecurity Firm, SilverPillar Cyber Advisors, as well as Stradley […]
Read MoreSEC Leadership Signals Regulatory Priorities in Latest Conference Remarks
SEC Releases Introduction At the SEC’s 13th Annual Conference on Financial Market Regulation, SEC Chairman Paul Atkins, SEC Commissioner Mark Uyeda, and SEC Commissioner Hester […]
Read MoreNavigating Cyber Threats: What RIAs Should Be Doing Now
Vigilant Insights Introduction Cybersecurity continues to be a growing area of focus for Registered Investment Advisers (“RIAs”), particularly as data breaches impact Firms of all […]
Read MoreVigilant Compliance Newsletter | April 2026
Monthly Newsletter Printer Friendly Version In April, there were important releases including Vigilant Events, Vigilant Announcements, Vigilant Insights and SEC Releases. Below is a brief overview of […]
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