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 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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Reg S-P Webinar Replay | Vigilant Events
May 12, 2026Vigilant Events On Thursday, May 7th, 2026, Vigilant participated in a co-hosted Reg S-P Webinar with it’s affiliated Cybersecurity Firm, SilverPillar Cyber[...]
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SEC Leadership Signals Regulatory Priorities in Latest Conference Remarks
May 08, 2026SEC Releases Introduction At the SEC’s 13th Annual Conference on Financial Market Regulation, SEC Chairman Paul Atkins, SEC Commissioner Mark[...]
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Navigating Cyber Threats: What RIAs Should Be Doing Now
May 04, 2026Vigilant Insights Introduction Cybersecurity continues to be a growing area of focus for Registered Investment Advisers (“RIAs”), particularly as data[...]
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Vigilant Compliance Newsletter | April 2026
May 01, 2026Monthly Newsletter Printer Friendly Version In April, there were important releases including Vigilant Events, Vigilant Announcements, Vigilant Insights and SEC Releases. Below[...]
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Reg S-P Webinar | Vigilant Events
April 29, 2026Vigilant Events Reg S-P Webinar Registration Vigilant will be participating in a co-hosted webinar with it’s affiliated Cybersecurity Firm, SilverPillar Cyber Advisors,[...]
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