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 Releases
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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SEC Releases
$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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SEC Releases
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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SEC Releases
SEC Charges Private Fund Adviser for Excess Fees and Misstatements
April 29, 2026SEC Releases Introduction On April 9, 2026, the SEC filed a civil enforcement action against a Private Fund Investment Adviser[...]
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SEC Releases
SEC & CFTC Propose Form PF Changes to Reduce Private Fund Reporting Burdens
April 22, 2026SEC Releases Introduction The SEC and CFTC jointly proposed amendments to Form PF aimed at reducing reporting burdens for Private[...]
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SEC Releases
SEC FY25 Enforcement Results
April 20, 2026SEC Releases Introduction The SEC’s Fiscal Year 2025 enforcement results signal a meaningful shift in how the agency approaches enforcement.[...]
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SEC Releases
Investment Company Growth and the Role of Regulation
March 27, 2026SEC Releases Introduction On March 24, 2026, SEC Commissioner, Hester M. Peirce, made remarks at the ICI Conference, highlighting the[...]
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SEC Releases
SEC Leaders Discuss Disclosure Reform and Market Innovation
March 15, 2026SEC Releases Introduction During the March 12, 2026, meeting of the SEC’s Investor Advisory Committee, SEC leadership discussed several important[...]
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SEC Releases
SEC Chair Remarks on AI and Market Oversight
March 05, 2026SEC Releases Introduction At a recent roundtable hosted by the Financial Stability Oversight Council as part of its AI Innovation[...]
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SEC Releases
SEC Charges Private Credit Adviser Over Valuations
February 26, 2026SEC Releases Introduction On February 25, 2026, the SEC charged an RIA specializing in Private Credit and Loan Investments with[...]
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SEC Releases
SEC Names Rule FAQ
February 20, 2026SEC Releases Introduction The Names Rule FAQs issued by the SEC provide practical guidance on amendments to Rule 35d-1 under[...]
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SEC Releases
SEC Director of IM Discusses AI in Investment Management
February 06, 2026SEC Releases Introduction In recent remarks at the ICI Winter Board Meeting, Brian Daly, Director of the SEC’s Division of[...]
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