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.
Gerald Hodgkins, Associate Director of the SEC’s Enforcement Division, to Leave the Agency After 20 Years of Service
December 21, 2017The Securities and Exchange Commission today announced that Gerald W. Hodgkins, an Associate Director of the Division of Enforcement, will[...]
Read ArticleSEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street Investors
December 21, 2017The Securities and Exchange Commission today announced charges and an asset freeze against a group of unregistered funds and their owner who allegedly bilked thousands of retail investors, many[...]
Read ArticleBroker Charged With Giving Special Access to IPOs for Cash Kickbacks
December 19, 2017The Securities and Exchange Commission today charged a Wall Street stockbroker with illegally accepting more than $1 million in undisclosed[...]
Read ArticleMarc P. Berger Named Director of New York Regional Office
December 18, 2017The Securities and Exchange Commission today announced that Marc P. Berger has been named Director of the New York Regional[...]
Read ArticleSEC Names Kenneth A. Johnson as Chief Operating Officer
December 14, 2017The Securities and Exchange Commission today announced that Kenneth A. Johnson has been named the agency's Chief Operating Officer (COO). Mr.[...]
Read ArticleDivision of Trading and Markets Deputy Director Gary Barnett to Retire
December 13, 2017The Securities and Exchange Commission today announced that Gary Barnett, Deputy Director in the Division of Trading and Markets, will[...]
Read ArticleSEC Appoints New Chairman and Board Members to PCAOB
December 12, 2017The Securities and Exchange Commission today announced the appointment of William D. Duhnke III as Chairman and J. Robert Brown,[...]
Read ArticleSEC Charges Biopharmaceutical Company With Failing to Properly Disclose Perks for Executives
December 12, 2017The Securities and Exchange Commission today charged a biopharmaceutical company with committing a series of accounting controls and disclosure violations,[...]
Read ArticleStock Trader Charged in Insider Trading Ring
December 11, 2017The Securities and Exchange Commission today charged a former day trader with making more than $1 million in illegal insider[...]
Read ArticleCompany Halts ICO After SEC Raises Registration Concerns
December 11, 2017A California-based company selling digital tokens to investors to raise capital for its blockchain-based food review service halted its initial[...]
Read ArticleSEC Modifies Approach to Form N-PORT Filing Requirements
December 08, 2017In recognition of the importance of sound data security practices and protocols for sensitive, non-public information, the Securities and Exchange[...]
Read ArticleDaniel Michael Named Chief of Enforcement Division’s Complex Financial Instruments Unit
December 07, 2017The Securities and Exchange Commission today announced that Daniel Michael has been named chief of the Enforcement Division’s Complex Financial[...]
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