Blog
Why Private Fund Managers are Turning to Closed-End Funds
Vigilant Insights The Growing Appeal of Closed-End Funds for Private Fund Managers: Unlocking Liquidity and Broader Investor Access Vigilant continues to see a trend surrounding […]
Read MoreVigilant Compliance Newsletter | July 2025
Monthly Newsletter Printer Friendly Version In July, there were important releases including Vigilant Insights, SEC Releases, and Vigilant Shortlist Award Announcements. Below is a brief […]
Read MoreFormer CCO Charged for Altering Documents during SEC Exam
SEC Releases Introduction The SEC charged the Former CCO and Vice President of an RIA on July 15th, 2025, for modifying compliance documents requested by […]
Read MoreVigilant Shortlisted for 2025 Hedgeweek US Awards
Vigilant Announcements After getting the three (3) peat last year for the Hedgeweek US Awards as the Best Regulatory Advisory & Compliance Firm, Vigilant looks to make it […]
Read MoreFinCen IA AML Rule Postponed
News and Alerts On July 21, 2025, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced its intention to postpone the effective date of the Anti-Money Laundering/Countering […]
Read MoreRIA Charged Nearly $2 Million for Multiple Compliance Failures
SEC Releases Introduction On July 11, 2025, the SEC charged a New York RIA for failing to disclose conflicts of interest, overbilling clients, and through […]
Read MoreFirm Charged Over $2 Million for False and Misleading Statements
SEC Releases Introduction An RIA was charged on June 30th for false and misleading statements made to investors. As the SEC continues its main goal […]
Read MoreRIA 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 More