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.
Robert 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[...]
Read ArticleInvestment Adviser Charged in Multi-Million Dollar Options Trading Scheme
October 05, 2017The Securities and Exchange Commission today charged a Westchester, New York-based investment adviser with fraud stemming from lies to retail[...]
Read ArticleInvestment Adviser Charged in Multi-Million Dollar Options Trading Scheme
October 05, 2017The Securities and Exchange Commission today charged a Westchester, New York-based investment adviser with fraud stemming from lies to retail[...]
Read ArticleInvestment Adviser Charged in Multi-Million Dollar Options Trading Scheme
October 05, 2017The Securities and Exchange Commission today charged a Westchester, New York-based investment adviser with fraud stemming from lies to retail[...]
Read ArticleSEC Charges Penny-Stock Operators in Push to Crack Down on Repeat Offenders
October 03, 2017The Securities and Exchange Commission today charged two individuals with defrauding investors in penny stock companies that claimed to have[...]
Read ArticleSEC Charges Penny-Stock Operators in Push to Crack Down on Repeat Offenders
October 03, 2017The Securities and Exchange Commission today charged two individuals with defrauding investors in penny stock companies that claimed to have[...]
Read ArticleSEC Charges Penny-Stock Operators in Push to Crack Down on Repeat Offenders
October 03, 2017The Securities and Exchange Commission today charged two individuals with defrauding investors in penny stock companies that claimed to have[...]
Read ArticleWorld Investor Week Brings Together Securities Regulators on Six Continents to Promote Investor Education and Protection
October 02, 2017The Securities and Exchange Commission, along with the U.S. Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority[...]
Read ArticleWorld Investor Week Brings Together Securities Regulators on Six Continents to Promote Investor Education and Protection
October 02, 2017The Securities and Exchange Commission, along with the U.S. Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority[...]
Read ArticleWorld Investor Week Brings Together Securities Regulators on Six Continents to Promote Investor Education and Protection
October 02, 2017The Securities and Exchange Commission, along with the U.S. Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority[...]
Read ArticleChairman Clayton Provides Update on Review of 2016 Cyber Intrusion Involving EDGAR System
October 02, 2017SEC Chairman Jay Clayton today provided an update on the status of the agency’s review and investigation of the 2016[...]
Read ArticleChairman Clayton Provides Update on Review of 2016 Cyber Intrusion Involving EDGAR System
October 02, 2017SEC Chairman Jay Clayton today provided an update on the status of the agency’s review and investigation of the 2016[...]
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