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Private Equity Adviser Charged $4 Million for Compliance Failures

SEC Releases Introduction The SEC announced on December 26th that a New York Private Equity RIA was charged for Policies and Procedures failures, specifically related to failing to supervise. These failures […]

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Vigilant Shortlisted as Best Regulatory & Compliance Adviser

Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Regulatory & Compliance Adviser for the Institutional Asset Manager Awards 2023. Place Your Votes […]

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Private Equity Infrastructure RIA Charged for Breach of Duty

SEC Releases Brief Introduction Recently, the SEC charged a Private Equity Registered Investment Adviser (“RIA”) more than $1.6 Million for failures involving their fiduciary duty to Funds being managed. The RIA […]

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Private Equity Firms Should Consider Outsourced Compliance

Vigilant Insights Brief Introduction Vigilant frequently emphasizes the importance of a proactive compliance culture. Firms that take compliance seriously can help decrease their risk of expensive regulatory fines […]

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Private Equity Wire US Awards 2023 | Vigilant Shortlisted

Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for our third award in the past two weeks as the Best Regulatory Advisory & Compliance […]

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Private Equity Fund Adviser Charged for Fee Disclosure Failures and Overcharging

SEC Releases Brief Introduction On June 20th, the SEC charged a New York Investment Adviser for excessive management fees and failure to disclose conflicts of interest. The Firm agreed […]

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Three Areas The SEC Could Increase Private Equity Scrutiny in 2023

Vigilant Insights Brief Introduction The SEC has displayed signs of intention for increasing their scrutiny over Private Equity Firms in 2023. The SEC has added more proposals […]

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SEC Charges Private Equity Adviser for Failing to Disclose Disproportionate Expense Allocations to Fund

Brief Introduction Today, June 14th, the SEC announced that they charged a Private Equity Adviser with allocating undisclosed, disproportionate expenses to a private equity fund it advises. […]

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Private Fund Adviser Deficiencies | EXAMS Risk Alert

On Thursday, January 27th, the Division of Examinations (“EXAMS”) released a risk alert on their observations from examining Private Fund Advisers. There were 4 key areas examined during EXAMS observations: […]

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