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.
Marketing Rule & Recordkeeping Violations | RIA Charged
September 09, 2025SEC Releases Introduction On September 4, 2025, the SEC issued an administrative order against a $258 Million RIA for multiple compliance violations[...]
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$6M SEC Penalty for RIA and BD Conflict Disclosure Violations
September 05, 2025SEC Releases Introduction On August 29, 2025, the SEC charged another RIA ($159 Billion AUM) over $5 Million and its affiliated Broker/Dealer[...]
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$19.5M Fine for Failures in Disclosing Conflicts of Interest
September 03, 2025SEC Releases Introduction On August 29, 2025, the SEC ordered a well-known Adviser ($300 Billion RIA – $9.3 Trillion Globally)[...]
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Vigilant Compliance Newsletter | August 2025
August 29, 2025Monthly Newsletter Printer Friendly Version In August, there were important releases including Vigilant Insights, SEC Releases, and Vigilant Shortlist Award[...]
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Vigilant Shortlisted for ETF Compliance Award
August 25, 2025Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following Award below by ETF Express for their 2025 US Awards.[...]
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Private Fund RIA Charged Over $1.2 Million for Excess Management Fees
August 20, 2025SEC Releases Introduction The SEC has charged a $2.4 Billion AUM New York RIA over one (1) million dollars in[...]
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Enhancing Transparency: SEC’s New Guidance for Closed End Funds Investing in Private Funds
August 19, 2025SEC Releases Introduction On August 15, 2025, the SEC’s Division of Investment Management issued Accounting & Disclosure Information (“ADI”) 2025‑16,[...]
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Vigilant Shortlisted for 3 Private Equity Compliance Awards
August 12, 2025Vigilant 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[...]
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Debunking Common Misconceptions About Outsourced Compliance for RIAs, RICs, and Broker Dealers
August 08, 2025Vigilant Insights Introduction As regulatory expectations grow in complexity, many SEC Registered Investment Advisers (RIAs), SEC Registered Investment Companies (RICs),[...]
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RIA Charged for Custody Rule Violations
August 07, 2025SEC Releases Introduction The SEC charged an RIA on August 1st, 2025, for failing to comply with the independent verification[...]
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Common Marketing Review Mistakes and How to Improve Them: A Guide for RIAs, RICs, and Broker Dealers
August 06, 2025Vigilant Insights Introduction In the ever-evolving landscape of Marketing and Advertising, SEC Registered Investment Advisers (“RIAs”), SEC Registered Investment Companies[...]
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Why Private Fund Managers are Turning to Closed-End Funds
August 04, 2025Vigilant Insights The Growing Appeal of Closed-End Funds for Private Fund Managers: Unlocking Liquidity and Broader Investor Access Vigilant continues[...]
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