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.
Outsourced Compliance: When Is the Time Right?
September 15, 2026Vigilant Insights Introduction For many Investment Advisers, the question is not whether Compliance is important, it is whether the Firm[...]
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40 Act Fund Launch Compliance Considerations
September 15, 2026Vigilant Insights Introduction Launching a Registered Investment Company (RIC) involves a range of regulatory, operational, and compliance considerations that should[...]
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Is Your Rule 206(4)-7 Annual Review Complete?
September 15, 2026Vigilant Insights Introduction Rule 206(4)-7 requires SEC RIAs to review their compliance policies and procedures at least annually to determine[...]
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Revisiting the Marketing Rule | Vigilant Insights
September 14, 2026Vigilant Insights Introduction The SEC Marketing Rule has been in effect for several years, giving Advisers time to implement the[...]
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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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“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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Vigilant Compliance Newsletter | August 2026
September 01, 2026Monthly Newsletter Printer Friendly Version In August, there were important releases including Vigilant Announcements, Vigilant Insights, and SEC Releases. Below is[...]
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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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Vigilant Shortlisted for Two ETF Awards
August 25, 2026Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following Awards below by ETF Express for their 2026 US ETF Awards.[...]
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Third-Party Rankings: A Compliance Reminder for Firms
August 25, 2026Vigilant Insights Introduction A recent report involving a senior Forbes editor and an undisclosed $6 million payment from the Founder[...]
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Vigilant Recognized with 3 Private Equity Compliance Award Shortlisting’s
August 20, 2026Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following Awards below by Private Equity Wire for their US Awards. Regulatory[...]
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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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