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.
SEC Enforcement: Pre-IPO Fund Practices Under Scrutiny
August 14, 2026SEC Releases Introduction On August 10, 2026, the SEC charged a New York Investment Adviser that managed Private Funds investing[...]
Read Article
Q2 2026 Compliance Trends | Vigilant Insights
August 05, 2026Vigilant Insights Introduction Q2 2026 continued to reinforce a familiar message from regulators: Firms must demonstrate that their compliance programs[...]
Read Article
$489k SEC Enforcement Action | Advisory Fee Practices Lessons
August 04, 2026SEC Releases Introduction The SEC recently announced a settled enforcement action against a $357 Million AUM RIA (Wealth Manager with[...]
Read Article
Vigilant Compliance Newsletter | July 2026
August 03, 2026Monthly Newsletter Printer Friendly Version In July, there were important releases including Vigilant Announcements, Vigilant Insights and SEC Releases. Below is a[...]
Read Article
$400k 18f-4 Fine for ETF Compliance Failures
July 29, 2026SEC Releases Introduction The SEC charged a $14 Billion RIA with multiple ETFs $400,000 for multiple violations of the Investment[...]
Read Article
Undisclosed Conflicts Lead to $125k SEC Enforcement
July 17, 2026SEC Releases Introduction The SEC recently announced settled charges for a civil penalty of $125,000 against a former registered investment[...]
Read Article
Vigilant Shortlisted for 2026 Hedgeweek US Awards
July 17, 2026Vigilant Announcements After getting the four (4) peat last year for the Hedgeweek US Awards as the Best Regulatory Advisory & Compliance Firm, Vigilant looks to[...]
Read Article
Is Your Compliance Consultant Meeting Your Expectations? How Vigilant Differs
July 13, 2026Vigilant Insights Introduction Choosing a Compliance Consultant is more than satisfying a regulatory requirement, it is about finding a trusted[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article