Blog
Essential Year-End Compliance Considerations for RIAs and RICs
Vigilant Insights Introduction As 2025 enters its final quarter, Registered Investment Advisers (“RIAs”) and Registered Funds (“RICs”) face an evolving regulatory environment and important registration […]
Read MoreVigilant Compliance Newsletter | September 2025
Monthly Newsletter Printer Friendly Version In September, there were important releases including Vigilant Insights and SEC Releases. Below is a brief overview of what took […]
Read MoreBalancing Opportunity and Protection in Alts | Bill Speacht Insights
Vigilant Insights Introduction The SEC’s Investor Advisory Committee (IAC) recently issued recommendations to expand retail investor access to alternative investments through registered vehicles. These developments […]
Read MoreThe Case for Outsourced PFO Services in Today’s Registered Fund Ecosystem
Vigilant Insights The Evolving Demands on Registered Fund Boards In the world of Registered Investment Companies (“RICs”), Boards play a role quite different from those […]
Read More$5M Fine Shows the Cost of Inaccurate Marketing
SEC Releases Introduction On September 18, 2025, the SEC announced a $5 Million Civil Penalty against a well-known Broker/Dealer for misrepresenting the accuracy and speed […]
Read MorePrivate 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 […]
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