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 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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SEC Releases
“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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SEC Releases
SEC Risk Alert | Lost Securityholder Rule Compliance
August 31, 2026SEC Releases Introduction The SEC’s Division of Examinations issued a Risk Alert on August 28th, 2026, regarding compliance with Exchange[...]
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SEC Releases
SEC Enforcement: Pre-IPO Fund Practices Under Scrutiny
August 14, 2026SEC Releases Introduction On August 10, 2026, the SEC charged a New York Investment Adviser that managed Private Funds investing[...]
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SEC Releases
$489k SEC Enforcement Action | Advisory Fee Practices Lessons
August 04, 2026SEC Releases Introduction The SEC recently announced a settled enforcement action against a $357 Million AUM RIA (Wealth Manager with[...]
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SEC Releases
$400k 18f-4 Fine for ETF Compliance Failures
July 29, 2026SEC Releases Introduction The SEC charged a $14 Billion RIA with multiple ETFs $400,000 for multiple violations of the Investment[...]
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SEC Releases
Undisclosed Conflicts Lead to $125k SEC Enforcement
July 17, 2026SEC Releases Introduction The SEC recently announced settled charges for a civil penalty of $125,000 against a former registered investment[...]
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SEC Releases
Chairman Atkins Outlines Regulatory Vision
July 07, 2026SEC Releases Introduction In remarks delivered to the Economic Club of New York, SEC Chairman, Paul Atkins outlined his vision[...]
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SEC Releases
Custody Rule and Annual Audit Failures Lead to $75,000 SEC Penalty
June 29, 2026SEC Releases Introduction The SEC announced settled administrative proceedings against a $1.4 Billion ($22.3 Million in Pooled Investment Vehicles) RIA[...]
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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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