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 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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Outsourced Compliance: When Is the Time Right?
September 15, 2026Vigilant Insights Introduction For many Investment Advisers, the question is not whether Compliance is important, it is whether the Firm[...]
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40 Act Fund Launch Compliance Considerations
September 15, 2026Vigilant Insights Introduction Launching a Registered Investment Company (RIC) involves a range of regulatory, operational, and compliance considerations that should[...]
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Is Your Rule 206(4)-7 Annual Review Complete?
September 15, 2026Vigilant Insights Introduction Rule 206(4)-7 requires SEC RIAs to review their compliance policies and procedures at least annually to determine[...]
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Revisiting the Marketing Rule | Vigilant Insights
September 14, 2026Vigilant Insights Introduction The SEC Marketing Rule has been in effect for several years, giving Advisers time to implement the[...]
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Form 13F Filing Failures | $500k Penalty
September 10, 2026SEC Releases Introduction The SEC recently announced settled charges for $500,000 against a Dually Registered Investment Adviser and Broker Dealer[...]
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“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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