Blog
$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 […]
Read MoreVigilant Wins Private Equity Compliance Services Award
Vigilant Announcements For the first time, Vigilant was honored as Compliance Service of the Year (Fund Domicile) by Private Equity Wire in their 2025 US Awards. Vigilant’s […]
Read MoreReg S-P Alert for Large Firms
Vigilant Insights Introduction Regulation S-P (“Reg S-P”) is an SEC Privacy Rule that requires Financial Firms to protect their Clients’ Personal Information. It governs how Customer […]
Read MoreVigilant Compliance Newsletter | October 2025
Monthly Newsletter Printer Friendly Version In October, there were important releases including Vigilant Insights and Vigilant Announcements. Below is a brief overview of what took […]
Read MoreClosed-End Fund Structures: Which One Fits Your Firm?
Vigilant Insights Introduction Closed-End Funds continue to evolve as Investment Managers seek innovative ways to access capital, deliver liquidity options to investors, and align Fund […]
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