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.
Reg S-P Sweep Exams in Effect | Vigilant Insights
December 16, 2025Vigilant Insights Introduction On December 3rd, 2025, the Regulation S-P (“Reg S-P”) Rule Amendments went into effect for Large Advisers[...]
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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 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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Vigilant Wins Institutional Asset Manager Compliance Services Award
December 05, 2025Vigilant Announcements Vigilant is thrilled to announce that for the third year in a row, we have been selected as the 2025 Best Regulatory &[...]
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Alts & Retail Risks Lead SEC Agenda | Donna DiMaria Insights
December 02, 2025Vigilant Insights Introduction The SEC’s newly released 2026 Examination Priorities place a renewed emphasis on the risks Alternative Investments pose[...]
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$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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Vigilant Compliance Newsletter | November 2025
December 02, 2025Monthly Newsletter Printer Friendly Version In November, there were important releases including Vigilant Announcements, Vigilant Insights, and SEC Releases. Below[...]
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$325K SEC Fine Reflects Growing Regulatory Cyber Expectations
December 01, 2025SEC Releases Introduction On November 25th, 2025, a dually registered Broker Dealer and Registered Investment Adviser (RIA) has agreed to[...]
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SEC Charges 6 Advisers for False Filings
November 25, 2025SEC Releases Introduction On November 17, 2025, the SEC announced charges against six (6) Investment Advisory Entities for submitting Form[...]
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Streamlining 15(c) Reporting | Salvatore Faia Insights
November 20, 2025Vigilant Insights Introduction Fund Boards are increasingly reevaluating the volume and relevance of their Annual 15(c) Materials, working to eliminate[...]
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2026 Division of Examinations Exam Priorities | Key Takeaways
November 18, 2025SEC Releases Introduction On November 17, 2025, the SEC’s Division of Examinations (EXAMS) released its Fiscal Year 2026 Examination Priorities. These[...]
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Webinar Replay: RIA Dealmaking
November 13, 2025Vigilant Insights Recently, Vigilant’s President & CEO, Salvatore Faia, Esq., CPA, CFE, participated on a Thompson Hine Webinar with Andy Davalla (Partner) and Shelbie Harvey (Senior Managing[...]
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