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DOL Proposes New Fiduciary Framework for 401(k) Investment Selection
News and Alerts Introduction The U.S. Department of Labor’s (DOL) proposed rule on “Fiduciary Duties in Selecting Designated Investment Alternatives” seeks to clarify how fiduciaries […]
Read MoreFinCen IA AML Rule Postponed
News and Alerts On July 21, 2025, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced its intention to postpone the effective date of the Anti-Money Laundering/Countering […]
Read MoreSEC Unveils Structural Overhaul of Enforcement Division
News and Alerts Introduction It was recently reported that the SEC has reorganized the command structure for the Divisions of Enforcement and Exams. Previously, the […]
Read MoreSEC Initially Decides Not to Appeal Private Fund Rule Decision
NEWS AND ALERTS Introduction The SEC has appeared to have chosen to not to initially appeal against the ruling of their Private Fund Rule by […]
Read MorePrivate Fund Rule Overturned by Appeals Court
NEWS AND ALERTS Court Opinion in the 5th Circuit Introduction The Private Fund Rules adopted in August of 2023, with compliance dates for some Firms […]
Read MoreReg BI Violations | Broker Suspended
News and Alerts Introduction FINRA has suspended a Broker for 18 months due to violations of Regulation Best Interest (“Reg BI”). These violations were discovered during a FINRA Exam […]
Read MoreVigilant Compliance Newsletter | December 2023
Monthly Newsletter In December, we saw Vigilant Insights, Announcements, News and Alerts throughout the Industry. Below is a brief overview recapping what took place in the month […]
Read MorePrivate Funds Forced to Adapt to Ongoing SEC Regulations
News and Alerts Introduction 2023 saw an adoption of new rules and amendments that affect Private Funds and those that advise them. As the regulatory requirements for Private Funds […]
Read MoreIncreased Compliance Investments Indicated by Survey
News and Alerts Introduction Ignites conducted a survey that provides some insight into the actions taken by firms amid our aggressive regulatory climate. We discussed […]
Read MoreVigilant Compliance Newsletter | September 2023
Monthly Newsletter In September, we saw SEC Charges, new Adopted Rules, and Insights from Vigilant. Below is a brief overview of what took place in the month of […]
Read MoreNew Private Fund Rule Compliance Date
News and Alerts Effective Date Now Set for the Private Fund Rule The SEC recently adopted the new Private Fund Rule for Private Funds and Private Fund Advisers. […]
Read MoreVigilant Monthly Newsletter | August 2023
Vigilant Monthly Newsletter | August 2023 In August, we saw many Insights directly from the Vigilant Team, SEC New Rules and Releases, SEC Charges, Vigilant Insights and Announcements, […]
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