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.
Chairman Atkins Outlines Regulatory Vision
July 07, 2026SEC Releases Introduction In remarks delivered to the Economic Club of New York, SEC Chairman, Paul Atkins outlined his vision[...]
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Vigilant Shortlisted for Hedge Fund Compliance Award
July 07, 2026Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Advisory Firm: Regulation and Compliance for the 2026 With Intelligence[...]
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Vigilant Compliance Newsletter | June 2026
July 01, 2026Monthly Newsletter Printer Friendly Version In June, there were important releases including Industry Events, Vigilant Insights and SEC Releases. Below is a[...]
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Custody Rule and Annual Audit Failures Lead to $75,000 SEC Penalty
June 29, 2026SEC Releases Introduction The SEC announced settled administrative proceedings against a $1.4 Billion ($22.3 Million in Pooled Investment Vehicles) RIA[...]
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SEC 2026 Compliance Outreach Programs: Key Takeaways for RIAs and RICs
June 25, 2026Industry Events Introduction In May and June 2026, the SEC hosted virtual Compliance Outreach Program Regional Seminars for Investment Advisers[...]
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SEC Risk Alert Reveals Common Billing and Disclosure Deficiencies
June 17, 2026Vigilant Insights Introduction The SEC recently issued a Risk Alert highlighting deficiencies identified during examinations of Investment Advisers related to[...]
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The Reg S-P Deadline Has Passed | Is Your Firm Ready?
June 11, 2026Vigilant Insights Introduction As of June 3, 2026, RIAs with less than $1.5 Billion in Assets Under Management (AUM) are[...]
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SEC Enforcement Alert: Personal Trading and Compliance Lapses Lead to $1.5 Million Settlement
June 09, 2026SEC Releases Introduction On June 8, 2026, the SEC announced settled charges against an RIA and its former CEO arising[...]
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Vigilant Compliance Newsletter | May 2026
June 01, 2026Monthly Newsletter Printer Friendly Version In May, there were important releases including Vigilant Events, Vigilant Insights and SEC Releases. Below is a[...]
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$201K Reg BI Enforcement Action: Lessons for Firms
June 01, 2026SEC Releases Introduction The SEC charged a New York based Broker Dealer with failing to comply with Regulation Best Interest (“Reg BI”) in connection[...]
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Breakaway Advisor Compliance: Where to Start
May 27, 2026Vigilant Insights Introduction More Financial Advisors are choosing to leave Broker Dealers and Wirehouses to launch or join independent Registered[...]
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SEC Enforcement: What’s Ahead for Private Markets
May 20, 2026Vigilant Insights Introduction In remarks at the MFA Legal & Compliance 2026 Conference, David Woodcock, Director of the SEC Division[...]
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