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 Names Stephanie Avakian and Steven Peikin as Co-Directors of Enforcement
June 08, 2017The Securities and Exchange Commission today announced that Acting Director of the Division of Enforcement Stephanie Avakian and former federal[...]
Read ArticleSEC Charges Brokerage Firm With Failing to Comply With Anti-Money Laundering Laws
June 05, 2017The Securities and Exchange Commission today charged a Salt Lake City-based brokerage firm with securities law violations related to its[...]
Read ArticleFee Rate Advisory #3 for Fiscal Year 2017
May 31, 2017The Securities and Exchange Commission today announced that starting on July 4, 2017, the fee rates applicable to most securities[...]
Read ArticleFee Rate Advisory #3 for Fiscal Year 2017
May 31, 2017The Securities and Exchange Commission today announced that starting on July 4, 2017, the fee rates applicable to most securities[...]
Read ArticleSEC Names Peter Uhlmann Managing Executive in Chairman’s Office
May 25, 2017The Securities and Exchange Commission today announced that Peter Uhlmann has been named the managing executive in the Office of[...]
Read ArticleSEC Names Peter Uhlmann Managing Executive in Chairman’s Office
May 25, 2017The Securities and Exchange Commission today announced that Peter Uhlmann has been named the managing executive in the Office of[...]
Read ArticleSEC Files Charges in Trading Scheme Involving Confidential Government Information
May 24, 2017The Securities and Exchange Commission today announced charges in an alleged insider trading scheme involving tips of nonpublic information about[...]
Read ArticleSEC Files Charges in Trading Scheme Involving Confidential Government Information
May 24, 2017The Securities and Exchange Commission today announced charges in an alleged insider trading scheme involving tips of nonpublic information about[...]
Read ArticleSEC and MSRB to Hold Webinar on Series 50 Exam for Municipal Advisors
May 23, 2017The Securities and Exchange Commission (SEC) and the Municipal Securities Rulemaking Board (MSRB) today announced a joint educational webinar to[...]
Read ArticleSEC and MSRB to Hold Webinar on Series 50 Exam for Municipal Advisors
May 23, 2017The Securities and Exchange Commission (SEC) and the Municipal Securities Rulemaking Board (MSRB) today announced a joint educational webinar to[...]
Read ArticleSEC Charges Fake Filer With Manipulating Fitbit Stock
May 19, 2017The Securities and Exchange Commission today filed fraud charges against a Virginia-based mechanical engineer accused of scheming to manipulate the[...]
Read ArticleSEC Charges Fake Filer With Manipulating Fitbit Stock
May 19, 2017The Securities and Exchange Commission today filed fraud charges against a Virginia-based mechanical engineer accused of scheming to manipulate the[...]
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