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 Charges Unregistered Broker for Illegally Brokering Sales of EB-5 Securities
March 05, 2018The Securities and Exchange Commission today charged a New York-based company with illegally brokering dozens of investments by foreign nationals[...]
Read ArticleSEC Celebrates African American History Month
March 02, 2018The Securities and Exchange Commission this week concluded its month of celebrations, events, and remembrances – at its Washington, D.C.[...]
Read ArticleSEC Charges U.K. Brokerage Firm, Investment Manager, CEO, and Others for Manipulative Trading in U.S. Microcap Stocks
March 02, 2018The Securities and Exchange Commission today announced securities fraud charges against a U.K.-based broker-dealer and its investment manager in connection[...]
Read ArticleSEC Files Charges Seeking to Halt Recidivist and Associates in Scheme to Defraud Small Businesses
February 28, 2018The Securities and Exchange Commission today charged three-time recidivist Steven J. Muehler with operating an unregistered broker-dealer, facilitating an unregistered[...]
Read ArticleSEC Charges Ameriprise With Overcharging Retirement Account Customers for Mutual Fund Shares
February 28, 2018The Securities and Exchange Commission today announced that a Minnesota-based broker-dealer and investment adviser has agreed to settle charges for[...]
Read ArticleSEC Announces Agenda for March 8 Investor Advisory Committee Meeting
February 27, 2018The Securities and Exchange Commission today announced the agenda for the March 8 meeting of its Investor Advisory Committee. The[...]
Read ArticleSEC Votes to Modify Compliance Date for Open-End Fund Liquidity Classification
February 22, 2018The Securities and Exchange Commission today voted to extend by six months the deadline by which open-end funds must comply[...]
Read ArticleSEC Charges Former Bitcoin-Denominated Exchange and Operator With Fraud
February 21, 2018The Securities and Exchange Commission today charged a former bitcoin-denominated platform and its operator with operating an unregistered securities exchange[...]
Read ArticleSEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures
February 21, 2018Yesterday, the Securities and Exchange Commission voted unanimously to approve a statement and interpretive guidance to assist public companies in[...]
Read ArticleSEC Obtains Bars and Suspensions Against Individuals and Accounting Firm in Shell Factory Scheme
February 16, 2018The Securities and Exchange Commission today announced charges against three Israeli residents, a Washington, D.C. attorney, and an Israeli auditor[...]
Read ArticleSEC Suspends Trading in Three Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
February 16, 2018The Securities and Exchange Commission today suspended trading in three companies amid questions surrounding similar statements they made about the[...]
Read ArticleKyle Moffatt Named Chief Accountant in Division of Corporation Finance
February 15, 2018The Securities and Exchange Commission today announced that Kyle Moffatt has been named Chief Accountant in the Division of Corporation[...]
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