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
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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SEC Releases
SEC Withdraws 14 Proposed Rules
June 13, 2025SEC Releases Introduction The SEC has just withdrawn 14 Proposed Rules from the prior Administration. Majority of the withdrawn Proposed[...]
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SEC Releases
SEC Chair Testimony Before Senate Subcommittee | Key Takeaways
June 12, 2025SEC Releases Introduction SEC Chair, Paul Atkins, provided a testimony to the United States Senate Appropriations Subcommittee on Financial Services[...]
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SEC Releases
RIA Charged for Disclosure Failures and Misleading Statements
June 10, 2025SEC Releases Introduction An RIA was charged this month (June, 2025) for failing in their fiduciary duties. The Firm allegedly[...]
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SEC Releases
SEC’s Emerging Trends in Asset Management Conference | Key Takeaways
June 06, 2025SEC RELEASES Introduction The SEC held its 2025 Conference on Emerging Trends in Asset Management to explore how innovation, regulation,[...]
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SEC Releases
Rulemaking and Economic Analysis | Paul Atkins Remarks
May 28, 2025SEC RELEASES Introduction On May 16, 2025, the SEC Chair, Paul Atkins, spoke at the 12th annual conference on Financial[...]
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SEC Releases
Adopted Amendments to Reg S-P
May 20, 2025SEC Releases Introduction The Acting Director, Division of Examinations, Keith Cassidy, spoke last week about the approach the Division takes[...]
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