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
$2.9 Million Charge to RIA for Breach of Fiduciary Duty
April 30, 2025SEC RELEASES Introduction An RIA was charged by the SEC on April 25th, 2025, for failing to disclose conflicts of[...]
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SEC Releases
SEC Cracks Down on AI Misrepresentation
April 15, 2025SEC RELEASES Introduction On April 11th, 2025, the SEC charged a Founder and Former CEO (“CEO”), for allegedly defrauding investors[...]
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SEC Releases
SEC AI Roundtable | Key Takeaways
March 31, 2025SEC Releases Introduction On Thursday, March 27th, 2025, the SEC hosted a Roundtable that specifically focused on Artificial Intelligence (“AI”)[...]
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SEC Releases
SEC Charges Two (2) Officers and the Adviser for Misuse of Assets
March 27, 2025SEC Releases Introduction The SEC announced charges earlier this month (March, 2025) against an RIA, and two of its Officers, for misuse of Fund[...]
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SEC Releases
Updated Marketing Rule FAQs Released
March 20, 2025SEC Releases Introduction As anticipated by Vigilant, it was announced on March 19th, 2025, that the SEC has released updated FAQs surrounding the SEC[...]
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SEC Releases
SEC Names Rule Compliance Date Extended
March 17, 2025SEC RELEASES Introduction On Friday, March 14th, the SEC announced that the Names Rule is receiving a six (6) month[...]
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SEC Releases
Acting Chair Mark Uyeda Recent Speeches | Key Takeaways
March 05, 2025SEC RELEASES Introduction As of March 5th, 2025, Acting SEC Chair, Mark Uyeda, has discussed his view of the SEC’s[...]
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SEC Releases
SEC Announces Cyber and Emerging Technologies Unit (CETU)
February 20, 2025SEC RELEASES Introduction With Cybersecurity and Artificial Intelligence as top priorities for the SEC in 2025, the SEC announced February[...]
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SEC Releases
RIA Charged for Breaching Fiduciary Duty
February 18, 2025SEC RELEASES Introduction The SEC charged a New York RIA, and one of its former Investment Advisors, for misconduct involving[...]
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SEC Releases
Form PF Amendments Compliance Date Extension
January 30, 2025SEC RELEASES Introduction On January 29th, 2025, the SEC and CFTC extended the compliance date for the amendments to Form[...]
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SEC Releases
Misleading Cybersecurity Disclosure Leads to SEC Charges
January 26, 2025SEC RELEASES Introduction On January 13, 2025, charges were announced against an Alternative Asset Management Company for false and misleading[...]
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SEC Releases
Improper Private Fund Expenses | Managers and Owner Charged
January 22, 2025SEC RELEASES Introduction The SEC settled charges against two (2) Fund Managers and the Sole Owner for expenses charged to[...]
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