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 Charges Investment Adviser With Defrauding Professional Athlete and His Wife
August 22, 2017The Securities and Exchange Commission today charged investment adviser Jeremy Drake with defrauding two clients, a high profile professional athlete[...]
Read ArticleHedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading
August 21, 2017The Securities and Exchange Commission today announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay[...]
Read ArticleHedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading
August 21, 2017The Securities and Exchange Commission today announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay[...]
Read ArticleCommission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition
August 18, 2017The Securities and Exchange Commission today issued two releases and the SEC staff released a Staff Accounting Bulletin to update[...]
Read ArticleCommission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition
August 18, 2017The Securities and Exchange Commission today issued two releases and the SEC staff released a Staff Accounting Bulletin to update[...]
Read ArticleBanca IMI Securities to Pay $35 Million for Improper Handling of ADRs in Continuing SEC Crackdown
August 18, 2017The Securities and Exchange Commission today announced that broker Banca IMI Securities Corp. (BISC), an indirect, wholly-owned U.S. subsidiary of[...]
Read ArticleBanca IMI Securities to Pay $35 Million for Improper Handling of ADRs in Continuing SEC Crackdown
August 18, 2017The Securities and Exchange Commission today announced that broker Banca IMI Securities Corp. (BISC), an indirect, wholly-owned U.S. subsidiary of[...]
Read ArticleSEC Uncovers Wide-Reaching Insider Trading Scheme
August 16, 2017The Securities and Exchange Commission today announced insider trading charges against seven individuals who generated millions in profits by trading[...]
Read ArticleSEC Uncovers Wide-Reaching Insider Trading Scheme
August 16, 2017The Securities and Exchange Commission today announced insider trading charges against seven individuals who generated millions in profits by trading[...]
Read ArticleSEC Charges KPMG with Audit Failures
August 15, 2017The Securities and Exchange Commission today announced that KPMG has agreed to pay more than $6.2 million to settle charges[...]
Read ArticleSEC Charges KPMG with Audit Failures
August 15, 2017The Securities and Exchange Commission today announced that KPMG has agreed to pay more than $6.2 million to settle charges[...]
Read ArticleOCIE Risk Alert Observations from Cybersecurity Examinations
August 11, 2017Based on observations and findings from its cybersecurity examinations, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on[...]
Read Article