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.

 

Former Congressman and Two Others Settle Insider Trading Charges

December 09, 2019

The Securities and Exchange Commission announced today settlements with former U.S. Rep. Christopher Collins, his son Cameron Collins, and Stephen[...]

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Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs

December 09, 2019

The Securities and Exchange Commission today announced that broker-dealer Jefferies LLC will pay nearly $4 million to settle charges of[...]

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SEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock

December 09, 2019

A Colorado stock promoter and two of his companies agreed to pay $4.2 million to settle the U.S. Securities and Exchange[...]

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SEC Charges Multinational Telecommunications Company With FCPA Violations

December 06, 2019

The Securities and Exchange Commission today announced that Sweden-based Telefonaktiebolaget LM Ericsson was charged with engaging in a large-scale bribery[...]

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SEC Proposes to Modernize Regulation of the Use of Derivatives by Registered Funds and Business Development Companies

December 06, 2019

The Securities and Exchange Commission has voted to propose a new rule designed to enhance the regulation of the use[...]

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SEC Charges Trucking Executives With Accounting Fraud

December 05, 2019

The Securities and Exchange Commission today charged two former top executives of Indiana-based trucking company Celadon Group Inc. for their participation in an[...]

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SEC Releases Report on 38th Annual Small Business Forum

December 05, 2019

The Securities and Exchange Commission today released a report on the 38th Annual Government-Business Forum on Small Business Capital Formation.[...]

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SEC Charges Iconix Brand Group and Former Top Executives With Accounting Fraud

December 05, 2019

The Securities and Exchange Commission today charged brand-management company Iconix Brand Group Inc. and three of its former top executives with fraud. Iconix[...]

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SEC Issues Agenda for Dec. 11 Meeting of Small Business Capital Formation Advisory Committee

December 04, 2019

The Securities and Exchange Commission today released the agenda for a Dec. 11 telephonic meeting of its Small Business Capital[...]

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SEC Names Paul Munter as Deputy Chief Accountant

December 03, 2019

The Securities and Exchange Commission today announced the appointment of Paul Munter as a Deputy Chief Accountant (International) in the agency's[...]

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SEC Names John Vanosdall as Deputy Chief Accountant

December 03, 2019

The Securities and Exchange Commission today announced the appointment of John Vanosdall as a Deputy Chief Accountant (Accounting Group) in the[...]

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Kristina Littman Named Chief of the Cyber Unit

December 02, 2019

The Securities and Exchange Commission today announced that Kristina Littman has been named Chief of the Division of Enforcement’s Cyber[...]

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