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.
Banca 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 ArticleSEC Files Charges in Oil Drilling Investment Scheme
August 11, 2017The Securities and Exchange Commission today charged two Tennessee men and an accomplice in Fort Lauderdale with allegedly defrauding investors[...]
Read ArticleSEC Files Charges in Oil Drilling Investment Scheme
August 11, 2017The Securities and Exchange Commission today charged two Tennessee men and an accomplice in Fort Lauderdale with allegedly defrauding investors[...]
Read ArticleSEC Staff Publishes Report on Access to Capital and Market Liquidity
August 08, 2017The SEC Division of Economic and Risk Analysis (DERA) today published a report describing trends in primary securities issuance and[...]
Read ArticleInvestment Management Director David W. Grim to Leave SEC
August 03, 2017The Securities and Exchange Commission today announced that David W. Grim, Director of the Division of Investment Management, will leave[...]
Read ArticleDonna Esau Named Associate Regional Director for Examinations in Atlanta Regional Office
August 02, 2017The Securities and Exchange Commission today announced the promotion of Donna Esau to Associate Regional Director for Examinations in the[...]
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