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
$6M SEC Penalty for RIA and BD Conflict Disclosure Violations
September 05, 2025SEC Releases Introduction On August 29, 2025, the SEC charged another RIA ($159 Billion AUM) over $5 Million and its affiliated Broker/Dealer[...]
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SEC Releases
$19.5M Fine for Failures in Disclosing Conflicts of Interest
September 03, 2025SEC Releases Introduction On August 29, 2025, the SEC ordered a well-known Adviser ($300 Billion RIA – $9.3 Trillion Globally)[...]
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SEC Releases
Private Fund RIA Charged Over $1.2 Million for Excess Management Fees
August 20, 2025SEC Releases Introduction The SEC has charged a $2.4 Billion AUM New York RIA over one (1) million dollars in[...]
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SEC Releases
Enhancing Transparency: SEC’s New Guidance for Closed End Funds Investing in Private Funds
August 19, 2025SEC Releases Introduction On August 15, 2025, the SEC’s Division of Investment Management issued Accounting & Disclosure Information (“ADI”) 2025‑16,[...]
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SEC Releases
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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SEC Releases
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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SEC Releases
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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SEC Releases
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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SEC Releases
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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SEC Releases
SEC Office of the Investor Advocate Releases FY 2026 Objectives
June 30, 2025SEC Releases Introduction The SEC’s Office of Investor Advocate (OIAD) was designed to assist retail investors with resolving any significant[...]
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SEC Releases
Custody Rule and Disclosure Violations
June 24, 2025SEC Releases Introduction The SEC obtained a final judgement against a New York RIA this month (June, 2025) for failing[...]
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SEC Releases
Firm Charged for Fraudulent Press Release Statements
June 18, 2025SEC Releases Introduction While the industry continues to see some relief from the rulemaking of the previous administration, there are[...]
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