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.
Michael Maloney, Enforcement’s Chief Accountant, to Leave SEC
January 30, 2018The Securities and Exchange Commission today announced that Michael F. Maloney, Chief Accountant of the SEC’s Division of Enforcement, is[...]
Read ArticleSEC Halts Alleged Initial Coin Offering Scam
January 30, 2018The Securities and Exchange Commission obtained a court order halting an allegedly fraudulent initial coin offering (ICO) that targeted retail[...]
Read ArticleSEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices
January 25, 2018The Securities and Exchange Commission (SEC) Office of Minority and Women Inclusion (OMWI) today introduced its Diversity Assessment Report for[...]
Read ArticleSix Accountants Charged with Using Leaked Confidential PCAOB Data in Quest to Improve Inspection Results for KPMG
January 22, 2018The Securities and Exchange Commission today announced charges against six certified public accountants – including former staffers at the Public Company[...]
Read ArticleRobert Jackson and Hester Peirce Sworn In as SEC Commissioners
January 11, 2018Robert J. Jackson Jr. and Hester M. Peirce were sworn into office as SEC Commissioners this morning by SEC Chairman[...]
Read ArticleDr. Timothy Timura Named Deputy Chief Economist
January 11, 2018The Securities and Exchange Commission has named Dr. Timothy Timura, CFA, as Deputy Director and Deputy Chief Economist in the[...]
Read ArticleSEC and NYU to Host Jan. 19 Forum on Relationship Between Companies and Shareholders
January 11, 2018The U.S. Securities and Exchange Commission’s Division of Economic and Risk Analysis is partnering with New York University’s Salomon Center[...]
Read ArticleSEC Names Richard Best As Regional Director of Atlanta Office
January 10, 2018The Securities and Exchange Commission today named Richard R. Best as Regional Director of its Atlanta office. Mr. Best will[...]
Read ArticleSEC Issues Agenda for Inaugural Meeting of the Fixed Income Market Structure Advisory Committee
January 08, 2018The Securities and Exchange Commission today released the agenda for the inaugural meeting of the Fixed Income Market Structure Advisory[...]
Read ArticleAnnual Staff Reports on Credit Rating Agencies Show Improvements
December 29, 2017Credit rating agencies under Securities and Exchange Commission oversight show improved compliance, increased information technology resources, and continued competition, according[...]
Read ArticleCommission Staff Provides Regulatory Guidance for Accounting Impacts of the Tax Cuts and Jobs Act
December 22, 2017The Securities and Exchange Commission today announced publication of staff guidance for publicly traded companies, auditors, and others to help[...]
Read ArticleCommission Staff Provides Regulatory Guidance for Accounting Impacts of the Tax Cuts and Jobs Act
December 22, 2017The Securities and Exchange Commission today announced publication of staff guidance for publicly traded companies, auditors, and others to help[...]
Read Article