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.
More Than $16 Million Awarded to Two Whistleblowers
November 30, 2017The Securities and Exchange Commission today announced awards of more than $8 million each to two whistleblowers whose critical information[...]
Read ArticleSEC Ratifies Appointment of Administrative Law Judges
November 30, 2017The Securities and Exchange Commission today announced that it has ratified its prior appointment of Chief Administrative Law Judge Brenda[...]
Read ArticleSEC Announces Agenda for December 7 Investor Advisory Committee Meeting
November 27, 2017The Securities and Exchange Commission today announced the agenda for the December 7 meeting of its Investor Advisory Committee. The meeting[...]
Read ArticleLong Island Town and Former Top Official Charged With Defrauding Municipal Investors
November 21, 2017The Securities and Exchange Commission today charged Oyster Bay, New York, and its former top elected official with defrauding investors[...]
Read ArticleSEC Names Paul G. Cellupica as Deputy Director of the Division of Investment Management
November 20, 2017The Securities and Exchange Commission announced today that Paul G. Cellupica has been named Deputy Director of the agency's Division[...]
Read ArticleSEC Announces Agenda and Panelists for the 36th Annual Small Business Forum
November 16, 2017The Securities and Exchange Commission today announced the agenda and panelists for the 36th Annual Government-Business Forum on Small Business[...]
Read ArticleOCIE Issues Risk Alert
November 16, 2017The Office of Compliance Inspections and Examinations issued a Risk Alert on November 7, 2017. The alert is based on[...]
Read ArticleSEC Enforcement Division Issues Report on Priorities and FY 2017 Results
November 15, 2017In its ongoing efforts to protect Main Street investors, the Securities and Exchange Commission’s Enforcement Division today issued a report[...]
Read ArticleOCIE Acting Director Offers Compliance Insights
November 14, 2017Peter Driscoll, Acting Director of OCIE (“Office of Compliance Inspections and Examination”), spoke at the GIPS Standards Annual Conference in[...]
Read ArticleSEC Announces the Formation and First Members of Fixed Income Market Structure Advisory Committee
November 09, 2017The Securities and Exchange Commission today announced the formation and first members of its Fixed Income Market Structure Advisory Committee.[...]
Read ArticleSEC Warns Investors About Paid-to-Click Scams
November 07, 2017The Securities and Exchange Commission is warning investors to beware online “paid-to-click” scams that promise an easy payday by merely[...]
Read ArticleSEC Charges Biotech Company, Executives With Accounting Fraud
November 02, 2017The Securities and Exchange Commission today charged a Maryland-based biotech company and four former top executives with prioritizing revenue growth[...]
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