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 Withdraws 14 Proposed Rules

June 13, 2025

SEC Releases Introduction The SEC has just withdrawn 14 Proposed Rules from the prior Administration. Majority of the withdrawn Proposed[...]

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SEC Releases

SEC Chair Testimony Before Senate Subcommittee | Key Takeaways

June 12, 2025

SEC Releases Introduction SEC Chair, Paul Atkins, provided a testimony to the United States Senate Appropriations Subcommittee on Financial Services[...]

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SEC Releases

RIA Charged for Disclosure Failures and Misleading Statements

June 10, 2025

SEC Releases Introduction An RIA was charged this month (June, 2025) for failing in their fiduciary duties. The Firm allegedly[...]

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SEC Releases

SEC’s Emerging Trends in Asset Management Conference | Key Takeaways

June 06, 2025

SEC RELEASES Introduction The SEC held its 2025 Conference on Emerging Trends in Asset Management to explore how innovation, regulation,[...]

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SEC Releases

Rulemaking and Economic Analysis | Paul Atkins Remarks

May 28, 2025

SEC RELEASES Introduction On May 16, 2025, the SEC Chair, Paul Atkins, spoke at the 12th annual conference on Financial[...]

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SEC Releases

Adopted Amendments to Reg S-P

May 20, 2025

SEC Releases Introduction The Acting Director, Division of Examinations, Keith Cassidy, spoke last week about the approach the Division takes[...]

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SEC Releases

SEC Chair Paul Atkins Remarks at SEC Town Hall

May 13, 2025

SEC RELEASES Introduction With the SEC under new management, Firms are wondering how they can best adjust their compliance programs for a new[...]

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SEC Releases

$2.9 Million Charge to RIA for Breach of Fiduciary Duty

April 30, 2025

SEC RELEASES Introduction An RIA was charged by the SEC on April 25th, 2025, for failing to disclose conflicts of[...]

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SEC Releases

SEC Cracks Down on AI Misrepresentation

April 15, 2025

SEC RELEASES Introduction On April 11th, 2025, the SEC charged a Founder and Former CEO (“CEO”), for allegedly defrauding investors[...]

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SEC Releases

SEC AI Roundtable | Key Takeaways

March 31, 2025

SEC Releases Introduction On Thursday, March 27th, 2025, the SEC hosted a Roundtable that specifically focused on Artificial Intelligence (“AI”)[...]

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SEC Releases

SEC Charges Two (2) Officers and the Adviser for Misuse of Assets

March 27, 2025

SEC Releases Introduction The SEC announced charges earlier this month (March, 2025) against an RIA, and two of its Officers, for misuse of Fund[...]

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SEC Releases

Updated Marketing Rule FAQs Released

March 20, 2025

SEC Releases Introduction As anticipated by Vigilant, it was announced on March 19th, 2025, that the SEC has released updated FAQs surrounding the SEC[...]

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