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: 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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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[...]
Read Article
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.[...]
Read Article