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
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 Releases
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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SEC Releases
SEC Chair Remarks on AI and Market Oversight
March 05, 2026SEC Releases Introduction At a recent roundtable hosted by the Financial Stability Oversight Council as part of its AI Innovation[...]
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SEC Releases
SEC Charges Private Credit Adviser Over Valuations
February 26, 2026SEC Releases Introduction On February 25, 2026, the SEC charged an RIA specializing in Private Credit and Loan Investments with[...]
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SEC Releases
SEC Names Rule FAQ
February 20, 2026SEC Releases Introduction The Names Rule FAQs issued by the SEC provide practical guidance on amendments to Rule 35d-1 under[...]
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SEC Releases
SEC Director of IM Discusses AI in Investment Management
February 06, 2026SEC Releases Introduction In recent remarks at the ICI Winter Board Meeting, Brian Daly, Director of the SEC’s Division of[...]
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SEC Releases
Custody Rule Violations and Compliance Gaps Drive SEC Order
January 25, 2026SEC Releases Introduction On January 20, 2026, the SEC issued an administrative enforcement order against two RIAs (both wholly owned[...]
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SEC Releases
New Marketing Compliance FAQs
January 16, 2026SEC Releases Introduction Marketing Compliance remains a top regulatory priority for the SEC, as reinforced by continued examination focus and[...]
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SEC Releases
SEC Moves to Modernize Small Entity Thresholds
January 09, 2026SEC Releases Brief Introduction On January 7, 2026, the SEC announced a Proposed Rule to modernize and expand the definitions[...]
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SEC Releases
SEC Commissioner Crenshaw Raises Concerns on Market Direction
December 15, 2025SEC Releases Introduction On December 11th, 2025, SEC Commissioner, Caroline A. Crenshaw, delivered a candid assessment of the current direction[...]
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SEC Releases
SEC Outlook | Brian Daly’s (SEC Director of IM) Remarks
December 09, 2025SEC Releases Introduction On December 2, 2025, the newly appointed Director of the SEC’s Division of Investment Management, Brian Daly,[...]
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SEC Releases
$150K SEC Fine Highlights Importance of Transparency and Oversight
December 02, 2025SEC Releases Introduction On November 24th, 2025, an RIA and its Principal agreed to pay $150,000 to settle an Enforcement[...]
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