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.
Federal 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[...]
Read ArticleSEC Files Fraud Charges in Bitcoin and Office Space Investment Schemes
June 30, 2017The Securities and Exchange Commission today filed fraud charges against the clandestine founder of a purported Bitcoin platform and a[...]
Read ArticleSEC Files Fraud Charges in Bitcoin and Office Space Investment Schemes
June 30, 2017The Securities and Exchange Commission today filed fraud charges against the clandestine founder of a purported Bitcoin platform and a[...]
Read ArticleSEC Charges Information Technology Company and Former Executives With Accounting Fraud
June 30, 2017The Securities and Exchange Commission has charged Chicago-area information technology company Quadrant 4 System Corp. (QFOR) and two former top[...]
Read ArticleSEC Charges Information Technology Company and Former Executives With Accounting Fraud
June 30, 2017The Securities and Exchange Commission has charged Chicago-area information technology company Quadrant 4 System Corp. (QFOR) and two former top[...]
Read ArticleSEC’s Division of Corporation Finance Expands Popular JOBS Act Benefit to All Companies
June 29, 2017The Securities and Exchange Commission today announced that the Division of Corporation Finance will permit all companies to submit draft[...]
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