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.
Vigilant Compliance Newsletter | October 2026
November 04, 2026Monthly Newsletter Printer Friendly Version In October, there were important releases including SEC Releases and Vigilant Announcements. Below is a brief[...]
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SEC Cross-Trading Proposal | Fred Teufel Insights
November 03, 2026Vigilant Insights Introduction The SEC has Proposed Amendments to Rule 17a-7 under the Investment Company Act of 1940 that would[...]
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Fair Value Measurement and Disclosure Considerations for Private Assets
October 28, 2026SEC Releases Introduction On September 28, 2026, Chief Accountant, Kurt Hohl, and Director – Division of Investment Management, Brian Daly,[...]
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SEC FY 2027 Examination Priorities | Key Takeaways
October 23, 2026SEC Releases Introduction On October 23, 2026, the SEC’s Division of Examinations (“Division”) released its Fiscal Year 2027 Examination Priorities,[...]
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SEC Enforcement Priorities and New Initiatives | David Woodcock Remarks
October 22, 2026SEC Releases Introduction On September 18, 2026, SEC Division of Enforcement Director, David Woodcock, delivered remarks outlining the Division’s enforcement[...]
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Private Fund Valuation and Reporting Failures Draw SEC Action
October 19, 2026SEC Releases Introduction On October 9, 2026, the SEC announced a settled enforcement action against a New York-based Investment Adviser[...]
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SEC Enforcement Highlights Undisclosed Conflicts of Interest in Adviser Referral Practices
October 15, 2026SEC Releases Introduction On September 28, 2026, the SEC announced settled charges against an RIA that operated a service matching individuals[...]
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SEC Proposes Amendments to Expand Retail Access to Private Markets
October 14, 2026SEC Releases Introduction On September 30, 2026, the SEC proposed Amendments intended to expand retail investor access to Private Market[...]
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Vigilant Named Five-Time Hedgeweek Award Winner
October 09, 2026Vigilant Announcements (Vigilant Becomes Five (5) Time Hedgeweek Award Winners) For the fifth year in a row, Vigilant was awarded as[...]
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Vigilant Compliance Newsletter | September 2026
October 06, 2026Monthly Newsletter Printer Friendly Version In September, there were important releases including Vigilant Insights and SEC Releases. Below is a brief overview[...]
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SEC Publishes New Examination Handbook
October 01, 2026SEC Releases Introduction On October 1, 2026, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“EXAMS”) published a new[...]
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SEC Risk Alert | Annual Compliance Review Observations
September 17, 2026SEC Releases Introduction On September 14, 2026, the SEC Division of Examinations issued a Risk Alert highlighting observations from recent[...]
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