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SEC Commissioner Crenshaw Raises Concerns on Market Direction
SEC Releases Introduction On December 11th, 2025, SEC Commissioner, Caroline A. Crenshaw, delivered a candid assessment of the current direction of the regulatory environment. To […]
Read MoreSEC Outlook | Brian Daly’s (SEC Director of IM) Remarks
SEC Releases Introduction On December 2, 2025, the newly appointed Director of the SEC’s Division of Investment Management, Brian Daly, addressed members of the American […]
Read MoreVigilant Wins Institutional Asset Manager Compliance Services Award
Vigilant Announcements Vigilant is thrilled to announce that for the third year in a row, we have been selected as the 2025 Best Regulatory & Compliance Adviser by Institutional Asset […]
Read MoreAlts & Retail Risks Lead SEC Agenda | Donna DiMaria Insights
Vigilant Insights Introduction The SEC’s newly released 2026 Examination Priorities place a renewed emphasis on the risks Alternative Investments pose to Retail Investors, marking a […]
Read More$150K SEC Fine Highlights Importance of Transparency and Oversight
SEC Releases Introduction On November 24th, 2025, an RIA and its Principal agreed to pay $150,000 to settle an Enforcement Action by the SEC over […]
Read MoreVigilant Compliance Newsletter | November 2025
Monthly Newsletter Printer Friendly Version In November, there were important releases including Vigilant Announcements, Vigilant Insights, and SEC Releases. Below is a brief overview of […]
Read More$325K SEC Fine Reflects Growing Regulatory Cyber Expectations
SEC Releases Introduction On November 25th, 2025, a dually registered Broker Dealer and Registered Investment Adviser (RIA) has agreed to pay $325,000 to settle SEC […]
Read MoreSEC Charges 6 Advisers for False Filings
SEC Releases Introduction On November 17, 2025, the SEC announced charges against six (6) Investment Advisory Entities for submitting Form ADV Filings that allegedly contained […]
Read MoreStreamlining 15(c) Reporting | Salvatore Faia Insights
Vigilant Insights Introduction Fund Boards are increasingly reevaluating the volume and relevance of their Annual 15(c) Materials, working to eliminate redundant or obsolete information, streamline […]
Read More2026 Division of Examinations Exam Priorities | Key Takeaways
SEC Releases Introduction On November 17, 2025, the SEC’s Division of Examinations (EXAMS) released its Fiscal Year 2026 Examination Priorities. These priorities provide a forward-looking roadmap […]
Read MoreWebinar Replay: RIA Dealmaking
Vigilant Insights Recently, Vigilant’s President & CEO, Salvatore Faia, Esq., CPA, CFE, participated on a Thompson Hine Webinar with Andy Davalla (Partner) and Shelbie Harvey (Senior Managing Associate). This Webinar explored the […]
Read MoreTurning SEC Exam Downtime into Opportunity | Chuck Martin Insights
Vigilant Insights Introduction As the government shutdown continues to stall regulatory operations, many Firms undergoing SEC Examinations have been left in an uncertain position. With […]
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