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Private Capital Markets | SEC Commissioner Takeaways
SEC Releases Introduction On September 4, 2025, SEC Commissioner, Mark Uyeda, opened the SIFMA Private Markets Valuation Roundtable by highlighting the vital role that Private Capital […]
Read MoreMarketing Rule & Recordkeeping Violations | RIA Charged
SEC Releases Introduction On September 4, 2025, the SEC issued an administrative order against a $258 Million RIA for multiple compliance violations (Marketing Rule, Books and Records). […]
Read More$6M SEC Penalty for RIA and BD Conflict Disclosure Violations
SEC Releases Introduction On August 29, 2025, the SEC charged another RIA ($159 Billion AUM) over $5 Million and its affiliated Broker/Dealer $750,000 for failing to adequately […]
Read More$19.5M Fine for Failures in Disclosing Conflicts of Interest
SEC Releases Introduction On August 29, 2025, the SEC ordered a well-known Adviser ($300 Billion RIA – $9.3 Trillion Globally) to pay a fine of […]
Read MoreVigilant Compliance Newsletter | August 2025
Monthly Newsletter Printer Friendly Version In August, there were important releases including Vigilant Insights, SEC Releases, and Vigilant Shortlist Award Announcements. Below is a brief […]
Read MoreVigilant Shortlisted for ETF Compliance Award
Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following Award below by ETF Express for their 2025 US Awards. Best ETF Regulatory/Compliance Adviser Vote […]
Read MorePrivate Fund RIA Charged Over $1.2 Million for Excess Management Fees
SEC Releases Introduction The SEC has charged a $2.4 Billion AUM New York RIA over one (1) million dollars in civil penalties due to over […]
Read MoreEnhancing 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 […]
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