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.
RIA Charged for Custody Rule Violations
August 07, 2025SEC Releases Introduction The SEC charged an RIA on August 1st, 2025, for failing to comply with the independent verification[...]
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Common Marketing Review Mistakes and How to Improve Them: A Guide for RIAs, RICs, and Broker Dealers
August 06, 2025Vigilant Insights Introduction In the ever-evolving landscape of Marketing and Advertising, SEC Registered Investment Advisers (“RIAs”), SEC Registered Investment Companies[...]
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Why Private Fund Managers are Turning to Closed-End Funds
August 04, 2025Vigilant Insights The Growing Appeal of Closed-End Funds for Private Fund Managers: Unlocking Liquidity and Broader Investor Access Vigilant continues[...]
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Vigilant Compliance Newsletter | July 2025
July 31, 2025Monthly Newsletter Printer Friendly Version In July, there were important releases including Vigilant Insights, SEC Releases, and Vigilant Shortlist Award[...]
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Former CCO Charged for Altering Documents during SEC Exam
July 24, 2025SEC Releases Introduction The SEC charged the Former CCO and Vice President of an RIA on July 15th, 2025, for[...]
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Vigilant Shortlisted for 2025 Hedgeweek US Awards
July 22, 2025Vigilant Announcements After getting the three (3) peat last year for the Hedgeweek US Awards as the Best Regulatory Advisory & Compliance Firm,[...]
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FinCen IA AML Rule Postponed
July 21, 2025News and Alerts On July 21, 2025, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced its intention[...]
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RIA Charged Nearly $2 Million for Multiple Compliance Failures
July 18, 2025SEC Releases Introduction On July 11, 2025, the SEC charged a New York RIA for failing to disclose conflicts of[...]
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Firm Charged Over $2 Million for False and Misleading Statements
July 16, 2025SEC Releases Introduction An RIA was charged on June 30th for false and misleading statements made to investors. As the[...]
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RIA and CEO Charged for Fraudulent Billing
July 15, 2025SEC Releases Introduction The SEC charged a Chicago RIA, and its CEO, on July 3rd for charging improper fees. The[...]
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When Should an RIA Consider a Mock Examination?
July 09, 2025VIGILANT INSIGHTS Introduction For SEC Registered Investment Advisers (RIAs), regulatory compliance isn’t just a box to check, it’s an ongoing responsibility[...]
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Vigilant Shortlisted for Alternative Credit Compliance Award
July 07, 2025Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the 2025 Compliance Service of the Year Award by Alternative[...]
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