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 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[...]
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When Do RIAs Consider an OCCO? | 5 Scenarios
April 27, 2026Vigilant Insights Introduction For SEC RIAs, the compliance function has become increasingly complex, resource-intensive, and scrutinized. Regulatory expectations continue to[...]
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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[...]
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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.[...]
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AI Compliance Considerations
April 14, 2026Vigilant Insights Introduction AI is quickly becoming part of how RIAs operate, whether through Portfolio Management tools, client communications, trading[...]
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Q1 2026 Compliance Trends | Vigilant Insights
April 14, 2026Vigilant Insights Introduction So far in 2026, both the SEC and FINRA are reinforcing a familiar message, Firms must demonstrate[...]
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DOL Proposes New Fiduciary Framework for 401(k) Investment Selection
April 07, 2026News and Alerts Introduction The U.S. Department of Labor’s (DOL) proposed rule on “Fiduciary Duties in Selecting Designated Investment Alternatives”[...]
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Vigilant Recognized as Finalist for Private Fund Compliance Award
April 02, 2026Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance and Regulatory Adviser (Private Fund Industry) in Regulatory Compliance by[...]
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Vigilant Compliance Newsletter | March 2026
April 01, 2026Monthly Newsletter Printer Friendly Version In March, there were important releases including Vigilant Insights and SEC Releases. Below is a brief[...]
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Investment Company Growth and the Role of Regulation
March 27, 2026SEC Releases Introduction On March 24, 2026, SEC Commissioner, Hester M. Peirce, made remarks at the ICI Conference, highlighting the[...]
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SEC Leaders Discuss Disclosure Reform and Market Innovation
March 15, 2026SEC Releases Introduction During the March 12, 2026, meeting of the SEC’s Investor Advisory Committee, SEC leadership discussed several important[...]
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When Are RIAs Conducting Mock Exams?
March 10, 2026Vigilant Insights Introduction Mock Exams have become an important area of consideration for many Registered Investment Advisers (“RIAs”) of all[...]
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