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 Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors
September 25, 2017The Securities and Exchange Commission today announced two new initiatives that will build on its Enforcement Division’s ongoing efforts to[...]
Read ArticleSEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors
September 25, 2017The Securities and Exchange Commission today announced two new initiatives that will build on its Enforcement Division’s ongoing efforts to[...]
Read ArticleSEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors
September 25, 2017The Securities and Exchange Commission today announced two new initiatives that will build on its Enforcement Division’s ongoing efforts to[...]
Read ArticlePharmaceutical Company Paying Penalty for Misleading Investors About Sales Metric
September 22, 2017The Securities and Exchange Commission today filed fraud charges against a Massachusetts-based biopharmaceutical company that exaggerated how many new patients[...]
Read ArticlePharmaceutical Company Paying Penalty for Misleading Investors About Sales Metric
September 22, 2017The Securities and Exchange Commission today filed fraud charges against a Massachusetts-based biopharmaceutical company that exaggerated how many new patients[...]
Read ArticleSEC Announces Agenda for October 12 Investor Advisory Committee Meeting
September 22, 2017The Securities and Exchange Commission today announced the agenda for the October 12 meeting of its Investor Advisory Committee. The[...]
Read ArticleSEC Announces Agenda for October 12 Investor Advisory Committee Meeting
September 22, 2017The Securities and Exchange Commission today announced the agenda for the October 12 meeting of its Investor Advisory Committee. The[...]
Read ArticleSEC Announces Agenda for October 12 Investor Advisory Committee Meeting
September 22, 2017The Securities and Exchange Commission today announced the agenda for the October 12 meeting of its Investor Advisory Committee. The[...]
Read ArticleSEC Suspends Trading in Company Purporting Involvement in Hurricane Harvey Relief Efforts
September 22, 2017The Securities and Exchange Commission today suspended trading in a company amid questions surrounding its statements about sending response teams[...]
Read ArticleSEC Suspends Trading in Company Purporting Involvement in Hurricane Harvey Relief Efforts
September 22, 2017The Securities and Exchange Commission today suspended trading in a company amid questions surrounding its statements about sending response teams[...]
Read ArticleSEC Adopts Interpretive Guidance on Pay Ratio Rule
September 21, 2017The Securities and Exchange Commission has approved interpretive guidance to assist companies in their efforts to comply with the pay ratio[...]
Read ArticleSEC Adopts Interpretive Guidance on Pay Ratio Rule
September 21, 2017The Securities and Exchange Commission has approved interpretive guidance to assist companies in their efforts to comply with the pay ratio[...]
Read Article