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 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[...]
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[...]
Read ArticleBroker Charged With Defrauding Investors
December 07, 2017The Securities and Exchange Commission charged a registered representative in Pennsylvania with operating a long-running offering and investment advisory fraud.[...]
Read ArticleBroker Charged With Defrauding Investors
December 07, 2017The Securities and Exchange Commission charged a registered representative in Pennsylvania with operating a long-running offering and investment advisory fraud.[...]
Read ArticleSEC Continues Crackdown on Brokers Defrauding Customers
December 06, 2017The Securities and Exchange Commission today continued its crackdown on brokers who defraud customers, charging two New York-based brokers with[...]
Read ArticleFormer Company Insider Earns More Than $4.1 Million for Whistleblower Tip
December 05, 2017The Securities and Exchange Commission today announced an award of more than $4.1 million to a former company insider who[...]
Read ArticleDigital Display Advertising Firm, Executives Charged With Bilking Investors
December 04, 2017The Securities and Exchange Commission today charged a Seattle-area outdoor digital signage advertising company and two of its senior executives[...]
Read ArticleAudit Firm Charged With Fraud Relating to Auditing of Penny Stock Companies
December 04, 2017A California-based audit firm is being charged with conducting flawed audits and reviews of financial statements, which are critical sources[...]
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