Vigilant’s experienced professionals have extensive knowledge in Investment Adviser, Broker-Dealer, Mutual Fund, Private Equity, and Cybersecurity compliance, risk, and technology. Vigilant provides insights on best practices, trends, and industry news. Our blog consolidates all SEC, Vigilant, and industry-specific compliance alerts, white papers, articles, etc., to help you stay informed and find the information that you will need and find useful.
Alts & Retail Risks Lead SEC Agenda | Donna DiMaria Insights
December 02, 2025Vigilant Insights Introduction The SEC’s newly released 2026 Examination Priorities place a renewed emphasis on the risks Alternative Investments pose[...]
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$150K SEC Fine Highlights Importance of Transparency and Oversight
December 02, 2025SEC Releases Introduction On November 24th, 2025, an RIA and its Principal agreed to pay $150,000 to settle an Enforcement[...]
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Vigilant Compliance Newsletter | November 2025
December 02, 2025Monthly Newsletter Printer Friendly Version In November, there were important releases including Vigilant Announcements, Vigilant Insights, and SEC Releases. Below[...]
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$325K SEC Fine Reflects Growing Regulatory Cyber Expectations
December 01, 2025SEC Releases Introduction On November 25th, 2025, a dually registered Broker Dealer and Registered Investment Adviser (RIA) has agreed to[...]
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SEC Charges 6 Advisers for False Filings
November 25, 2025SEC Releases Introduction On November 17, 2025, the SEC announced charges against six (6) Investment Advisory Entities for submitting Form[...]
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Streamlining 15(c) Reporting | Salvatore Faia Insights
November 20, 2025Vigilant Insights Introduction Fund Boards are increasingly reevaluating the volume and relevance of their Annual 15(c) Materials, working to eliminate[...]
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2026 Division of Examinations Exam Priorities | Key Takeaways
November 18, 2025SEC Releases Introduction On November 17, 2025, the SEC’s Division of Examinations (EXAMS) released its Fiscal Year 2026 Examination Priorities. These[...]
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Webinar Replay: RIA Dealmaking
November 13, 2025Vigilant 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[...]
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Turning SEC Exam Downtime into Opportunity | Chuck Martin Insights
November 11, 2025Vigilant Insights Introduction As the government shutdown continues to stall regulatory operations, many Firms undergoing SEC Examinations have been left[...]
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Vigilant Wins Private Equity Compliance Services Award
November 10, 2025Vigilant Announcements For the first time, Vigilant was honored as Compliance Service of the Year (Fund Domicile) by Private Equity Wire in[...]
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Reg S-P Alert for Large Firms
November 04, 2025Vigilant Insights Introduction Regulation S-P (“Reg S-P”) is an SEC Privacy Rule that requires Financial Firms to protect their Clients’ Personal[...]
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Vigilant Compliance Newsletter | October 2025
November 04, 2025Monthly Newsletter Printer Friendly Version In October, there were important releases including Vigilant Insights and Vigilant Announcements. Below is a[...]
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