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.
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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Vigilant Shortlisted for 2026 Hedgeweek US Awards
July 17, 2026Vigilant Announcements After getting the four (4) peat last year for the Hedgeweek US Awards as the Best Regulatory Advisory & Compliance Firm, Vigilant looks to[...]
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Is Your Compliance Consultant Meeting Your Expectations? How Vigilant Differs
July 13, 2026Vigilant Insights Introduction Choosing a Compliance Consultant is more than satisfying a regulatory requirement, it is about finding a trusted[...]
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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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Vigilant Shortlisted for Hedge Fund Compliance Award
July 07, 2026Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Advisory Firm: Regulation and Compliance for the 2026 With Intelligence[...]
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Vigilant Compliance Newsletter | June 2026
July 01, 2026Monthly Newsletter Printer Friendly Version In June, there were important releases including Industry Events, Vigilant Insights and SEC Releases. Below is a[...]
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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 2026 Compliance Outreach Programs: Key Takeaways for RIAs and RICs
June 25, 2026Industry Events Introduction In May and June 2026, the SEC hosted virtual Compliance Outreach Program Regional Seminars for Investment Advisers[...]
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SEC Risk Alert Reveals Common Billing and Disclosure Deficiencies
June 17, 2026Vigilant Insights Introduction The SEC recently issued a Risk Alert highlighting deficiencies identified during examinations of Investment Advisers related to[...]
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The Reg S-P Deadline Has Passed | Is Your Firm Ready?
June 11, 2026Vigilant Insights Introduction As of June 3, 2026, RIAs with less than $1.5 Billion in Assets Under Management (AUM) are[...]
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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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Vigilant Compliance Newsletter | May 2026
June 01, 2026Monthly Newsletter Printer Friendly Version In May, there were important releases including Vigilant Events, Vigilant Insights and SEC Releases. Below is a[...]
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