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SEC 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 […]
Read MoreReg S-P Webinar | Vigilant Events
Vigilant Events Reg S-P Webinar Registration Vigilant will be participating in a co-hosted webinar with it’s affiliated Cybersecurity Firm, SilverPillar Cyber Advisors, as well as Stradley Ronon, […]
Read MoreSEC Charges Private Fund Adviser for Excess Fees and Misstatements
SEC Releases Introduction On April 9, 2026, the SEC filed a civil enforcement action against a Private Fund Investment Adviser and its Principal in the […]
Read MoreWhen Do RIAs Consider an OCCO? | 5 Scenarios
Vigilant Insights Introduction For SEC RIAs, the compliance function has become increasingly complex, resource-intensive, and scrutinized. Regulatory expectations continue to evolve, requiring Firms to maintain […]
Read MoreSEC & CFTC Propose Form PF Changes to Reduce Private Fund Reporting Burdens
SEC Releases Introduction The SEC and CFTC jointly proposed amendments to Form PF aimed at reducing reporting burdens for Private Fund Advisers while still preserving […]
Read MoreSEC FY25 Enforcement Results
SEC Releases Introduction The SEC’s Fiscal Year 2025 enforcement results signal a meaningful shift in how the agency approaches enforcement. While overall enforcement activity declined […]
Read MoreAI Compliance Considerations
Vigilant Insights Introduction AI is quickly becoming part of how RIAs operate, whether through Portfolio Management tools, client communications, trading analytics, or compliance monitoring systems. […]
Read MoreQ1 2026 Compliance Trends | Vigilant Insights
Vigilant Insights Introduction So far in 2026, both the SEC and FINRA are reinforcing a familiar message, Firms must demonstrate (not just document) effective compliance […]
Read MoreDOL Proposes New Fiduciary Framework for 401(k) Investment Selection
News and Alerts Introduction The U.S. Department of Labor’s (DOL) proposed rule on “Fiduciary Duties in Selecting Designated Investment Alternatives” seeks to clarify how fiduciaries […]
Read MoreVigilant Recognized as Finalist for Private Fund Compliance Award
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance and Regulatory Adviser (Private Fund Industry) in Regulatory Compliance by The Drawdown for their 2026 Awards. […]
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