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.
“Pay-to-Play” Rule | SEC Proposes Rescission
September 04, 2026SEC Releases Introduction On September 3, 2026, the SEC proposed rescinding Rule 206(4)-5 under the Investment Advisers Act of 1940,[...]
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Vigilant Compliance Newsletter | August 2026
September 01, 2026Monthly Newsletter Printer Friendly Version In August, there were important releases including Vigilant Announcements, Vigilant Insights, and SEC Releases. Below is[...]
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SEC Risk Alert | Lost Securityholder Rule Compliance
August 31, 2026SEC Releases Introduction The SEC’s Division of Examinations issued a Risk Alert on August 28th, 2026, regarding compliance with Exchange[...]
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Vigilant Shortlisted for Two ETF Awards
August 25, 2026Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following Awards below by ETF Express for their 2026 US ETF Awards.[...]
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Third-Party Rankings: A Compliance Reminder for Firms
August 25, 2026Vigilant Insights Introduction A recent report involving a senior Forbes editor and an undisclosed $6 million payment from the Founder[...]
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Vigilant Recognized with 3 Private Equity Compliance Award Shortlisting’s
August 20, 2026Vigilant 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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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[...]
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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[...]
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$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[...]
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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[...]
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$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[...]
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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[...]
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