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 Emergency Action Halts ICO Scam
December 04, 2017The Securities and Exchange Commission today announced it obtained an emergency asset freeze to halt a fast-moving Initial Coin Offering[...]
Read ArticleSEC Charges Florida Penny Stock Operators With Defrauding Elderly Investors in Push to Crack Down on Repeat Offenders
November 30, 2017The Securities and Exchange Commission today charged two individuals with defrauding elderly investors in a penny stock scheme involving Florida[...]
Read ArticleDivision of Corporation Finance Chief Accountant Mark Kronforst to Leave SEC
November 30, 2017The Securities and Exchange Commission today announced that Mark Kronforst, Chief Accountant of the SEC’s Division of Corporation Finance, plans[...]
Read ArticleMore 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[...]
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