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 Announces Whistleblower Award of More Than a Million Dollars
October 12, 2017The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for[...]
Read ArticleSEC Announces Whistleblower Award of More Than a Million Dollars
October 12, 2017The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for[...]
Read ArticleSEC Announces Whistleblower Award of More Than a Million Dollars
October 12, 2017The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for[...]
Read ArticleLawyers Charged With Assisting a Microcap Fraud Scheme
October 11, 2017The Securities and Exchange Commission today charged two lawyers it alleges helped facilitate a microcap fraud scheme involving undisclosed “blank[...]
Read ArticleLawyers Charged With Assisting a Microcap Fraud Scheme
October 11, 2017The Securities and Exchange Commission today charged two lawyers it alleges helped facilitate a microcap fraud scheme involving undisclosed “blank[...]
Read ArticleSEC Files Charges in Snack Company Investment Scam
October 11, 2017The Securities and Exchange Commission today charged three individuals who defrauded investors in a company that falsely claimed to be[...]
Read ArticleSEC Files Charges in Snack Company Investment Scam
October 11, 2017The Securities and Exchange Commission today charged three individuals who defrauded investors in a company that falsely claimed to be[...]
Read ArticleSEC Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure
October 11, 2017The Securities and Exchange Commission today voted to propose amendments to modernize and simplify disclosure requirements for public companies, investment[...]
Read ArticleSEC Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure
October 11, 2017The Securities and Exchange Commission today voted to propose amendments to modernize and simplify disclosure requirements for public companies, investment[...]
Read ArticleWalter Jospin, Regional Director of the SEC’s Atlanta Office, to Leave the Agency
October 10, 2017The Securities and Exchange Commission today announced that Walter E. Jospin, Regional Director of the agency’s Atlanta office, is leaving[...]
Read ArticleWalter Jospin, Regional Director of the SEC’s Atlanta Office, to Leave the Agency
October 10, 2017The Securities and Exchange Commission today announced that Walter E. Jospin, Regional Director of the agency’s Atlanta office, is leaving[...]
Read ArticleRobert Evans III Named Chief of the Office of International Corporate Finance in SEC’s Division of Corporation Finance
October 06, 2017The Securities and Exchange Commission today announced that Robert Evans III has been named Chief of the Office of International[...]
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