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 $2.5 Million Whistleblower Award
July 25, 2017The Securities and Exchange Commission today announced an award of nearly $2.5 million to an employee of a domestic government[...]
Read ArticleSEC Announces $2.5 Million Whistleblower Award
July 25, 2017The Securities and Exchange Commission today announced an award of nearly $2.5 million to an employee of a domestic government[...]
Read ArticleSEC Names Bryan Wood as Director of the Office of Legislative and Intergovernmental Affairs
July 24, 2017The Securities and Exchange Commission today announced that Bryan Wood has been named Director of the agency's Office of Legislative[...]
Read ArticleSEC Names Bryan Wood as Director of the Office of Legislative and Intergovernmental Affairs
July 24, 2017The Securities and Exchange Commission today announced that Bryan Wood has been named Director of the agency's Office of Legislative[...]
Read ArticleFederal Regulatory Agencies Announce Coordination of Reviews for Certain Foreign Funds Under Volcker Rule
July 21, 2017Five federal financial regulatory agencies today announced that they are coordinating their respective reviews of the treatment of certain foreign[...]
Read ArticleFederal Regulatory Agencies Announce Coordination of Reviews for Certain Foreign Funds Under Volcker Rule
July 21, 2017Five federal financial regulatory agencies today announced that they are coordinating their respective reviews of the treatment of certain foreign[...]
Read ArticleSEC Bars Lawyer Who Committed Fraud
July 19, 2017The Securities and Exchange Commission today barred a New York-based attorney from appearing or practicing before it and acting as[...]
Read ArticleSEC Bars Lawyer Who Committed Fraud
July 19, 2017The Securities and Exchange Commission today barred a New York-based attorney from appearing or practicing before it and acting as[...]
Read ArticleSEC Announces Christopher Hetner as Senior Advisor to the Chairman for Cybersecurity Policy
July 18, 2017The Securities and Exchange Commission today announced that Christopher R. Hetner will continue to serve as Senior Advisor to Chairman[...]
Read ArticleSEC Announces Christopher Hetner as Senior Advisor to the Chairman for Cybersecurity Policy
July 18, 2017The Securities and Exchange Commission today announced that Christopher R. Hetner will continue to serve as Senior Advisor to Chairman[...]
Read ArticleSEC Files Insider Trading Charges Against Research Scientist Aiming to Avoid SEC Detection
July 12, 2017The Securities and Exchange Commission today announced insider trading charges against a research scientist who allegedly searched the internet for[...]
Read ArticleSEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors
July 12, 2017The Securities and Exchange Commission today brought fraud charges against 13 individuals allegedly involved in two Long Island-based cold calling[...]
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