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.
Firm Charged Over $2 Million for False and Misleading Statements
July 16, 2025SEC Releases Introduction An RIA was charged on June 30th for false and misleading statements made to investors. As the[...]
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RIA and CEO Charged for Fraudulent Billing
July 15, 2025SEC Releases Introduction The SEC charged a Chicago RIA, and its CEO, on July 3rd for charging improper fees. The[...]
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When Should an RIA Consider a Mock Examination?
July 09, 2025VIGILANT INSIGHTS Introduction For SEC Registered Investment Advisers (RIAs), regulatory compliance isn’t just a box to check, it’s an ongoing responsibility[...]
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Vigilant Shortlisted for Alternative Credit Compliance Award
July 07, 2025Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the 2025 Compliance Service of the Year Award by Alternative[...]
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Vigilant Compliance Newsletter | June 2025
June 30, 2025Monthly Newsletter Printer Friendly Version In June, there were important releases including SEC Releases and a Vigilant Shortlist Award Announcement.[...]
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SEC Office of the Investor Advocate Releases FY 2026 Objectives
June 30, 2025SEC Releases Introduction The SEC’s Office of Investor Advocate (OIAD) was designed to assist retail investors with resolving any significant[...]
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Vigilant Shortlisted for Hedge Fund Compliance Award
June 26, 2025Vigilant Announcements Building off of our With Intelligence Hedge Fund Manager (“HFM”) Award Win last year, Vigilant is thrilled to announce that we have[...]
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Custody Rule and Disclosure Violations
June 24, 2025SEC Releases Introduction The SEC obtained a final judgement against a New York RIA this month (June, 2025) for failing[...]
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Firm Charged for Fraudulent Press Release Statements
June 18, 2025SEC Releases Introduction While the industry continues to see some relief from the rulemaking of the previous administration, there are[...]
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SEC Withdraws 14 Proposed Rules
June 13, 2025SEC Releases Introduction The SEC has just withdrawn 14 Proposed Rules from the prior Administration. Majority of the withdrawn Proposed[...]
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SEC Chair Testimony Before Senate Subcommittee | Key Takeaways
June 12, 2025SEC Releases Introduction SEC Chair, Paul Atkins, provided a testimony to the United States Senate Appropriations Subcommittee on Financial Services[...]
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RIA Charged for Disclosure Failures and Misleading Statements
June 10, 2025SEC Releases Introduction An RIA was charged this month (June, 2025) for failing in their fiduciary duties. The Firm allegedly[...]
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