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June 13, 2025SEC Releases Introduction The SEC has just withdrawn 14 Proposed Rules from the prior Administration. Majority of the withdrawn Proposed[...]
Read Article
SEC Releases
SEC Chair Testimony Before Senate Subcommittee | Key Takeaways
June 12, 2025SEC Releases Introduction SEC Chair, Paul Atkins, provided a testimony to the United States Senate Appropriations Subcommittee on Financial Services[...]
Read Article
SEC Releases
RIA Charged for Disclosure Failures and Misleading Statements
June 10, 2025SEC Releases Introduction An RIA was charged this month (June, 2025) for failing in their fiduciary duties. The Firm allegedly[...]
Read Article
SEC Releases
SEC’s Emerging Trends in Asset Management Conference | Key Takeaways
June 06, 2025SEC RELEASES Introduction The SEC held its 2025 Conference on Emerging Trends in Asset Management to explore how innovation, regulation,[...]
Read Article
SEC Releases
Rulemaking and Economic Analysis | Paul Atkins Remarks
May 28, 2025SEC RELEASES Introduction On May 16, 2025, the SEC Chair, Paul Atkins, spoke at the 12th annual conference on Financial[...]
Read Article
SEC Releases
Adopted Amendments to Reg S-P
May 20, 2025SEC Releases Introduction The Acting Director, Division of Examinations, Keith Cassidy, spoke last week about the approach the Division takes[...]
Read Article
SEC Releases
SEC Chair Paul Atkins Remarks at SEC Town Hall
May 13, 2025SEC RELEASES Introduction With the SEC under new management, Firms are wondering how they can best adjust their compliance programs for a new[...]
Read Article
SEC Releases
$2.9 Million Charge to RIA for Breach of Fiduciary Duty
April 30, 2025SEC RELEASES Introduction An RIA was charged by the SEC on April 25th, 2025, for failing to disclose conflicts of[...]
Read Article
SEC Releases
SEC Cracks Down on AI Misrepresentation
April 15, 2025SEC RELEASES Introduction On April 11th, 2025, the SEC charged a Founder and Former CEO (“CEO”), for allegedly defrauding investors[...]
Read Article
SEC Releases
SEC AI Roundtable | Key Takeaways
March 31, 2025SEC Releases Introduction On Thursday, March 27th, 2025, the SEC hosted a Roundtable that specifically focused on Artificial Intelligence (“AI”)[...]
Read Article
SEC Releases
SEC Charges Two (2) Officers and the Adviser for Misuse of Assets
March 27, 2025SEC Releases Introduction The SEC announced charges earlier this month (March, 2025) against an RIA, and two of its Officers, for misuse of Fund[...]
Read Article
SEC Releases
Updated Marketing Rule FAQs Released
March 20, 2025SEC Releases Introduction As anticipated by Vigilant, it was announced on March 19th, 2025, that the SEC has released updated FAQs surrounding the SEC[...]
Read Article