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

Form PF Amendments Compliance Date Extension

January 30, 2025

SEC RELEASES Introduction On January 29th, 2025, the SEC and CFTC extended the compliance date for the amendments to Form[...]

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SEC Releases

Misleading Cybersecurity Disclosure Leads to SEC Charges

January 26, 2025

SEC RELEASES Introduction On January 13, 2025, charges were announced against an Alternative Asset Management Company for false and misleading[...]

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SEC Releases

Improper Private Fund Expenses | Managers and Owner Charged

January 22, 2025

SEC RELEASES Introduction The SEC settled charges against two (2) Fund Managers and the Sole Owner for expenses charged to[...]

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SEC Releases

Record Number of SEC Enforcement Actions | Q1 of FY 2025

January 21, 2025

SEC Releases Introduction The SEC recently announced the results of their Enforcement Actions for the first quarter of their 2025 fiscal year. The[...]

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SEC Releases

$63.1 Million in Penalties for Recordkeeping Failures (12 Firms Charged)

January 15, 2025

SEC RELEASES Introduction The SEC continues to investigate and charge Firms that fail to meet regulatory requirements around recordkeeping. On[...]

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SEC Releases

Names Rule FAQ Released by the SEC

January 13, 2025

SEC RELEASES Introduction The SEC recently published an FAQ to answer certain industry questions surrounding the amendments to the Names[...]

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SEC Releases

3 Firms Charged for Delayed Form D Filings

January 07, 2025

SEC RELEASES Introduction Three (3) Firms were charged $430,000 in total on December 20th, 2024 for failing to timely file[...]

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SEC Releases

Firm Charged $15 Million for Failure to Prevent and Detect Fraud

December 23, 2024

SEC RELEASES Introduction After four investment advisers and registered representatives (hereby, financial advisors) were charged with stealing millions of dollars,[...]

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SEC Releases

Form PF Failures | $790k in Fines

December 16, 2024

SEC Releases Introduction Charges were announced on December 13th, 2024, against seven (7) Private Fund Advisers due to their failure to file Form PF.[...]

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SEC Releases

2024 SEC Enforcement Results

November 27, 2024

SEC Releases Introduction The SEC has released their enforcement results for fiscal year 2024. This year was a record-setting year for financial penalties and[...]

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SEC Releases

Key Takeaways from the SEC Compliance Outreach Seminar

November 07, 2024

SEC Releases Introduction Today, November 7th, the SEC just completed their National Compliance Program Outreach Seminar. There were opening remarks made by[...]

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SEC Releases

Risk Alert Focused on RICs | Division of Examinations

November 06, 2024

SEC RELEASES Introduction On November 4th, 2024, the Division of Examinations (EXAMS) released a risk alert for Registered Investment Companies[...]

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