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 Former Head Traders at Nomura With Fraud
May 15, 2017The Securities and Exchange Commission today charged a pair of former head traders who ran the commercial mortgage-backed securities (CMBS)[...]
Read ArticleSEC Charges Former Head Traders at Nomura With Fraud
May 15, 2017The Securities and Exchange Commission today charged a pair of former head traders who ran the commercial mortgage-backed securities (CMBS)[...]
Read ArticleSEC Names Lucas Moskowitz Chief of Staff
May 11, 2017The Securities and Exchange Commission today announced that Lucas Moskowitz has been named the agency’s chief of staff. “Lucas’s diverse[...]
Read ArticleLaw Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme
May 11, 2017The Securities and Exchange Commission today charged a former partner at an international law firm and his neighbor with making[...]
Read ArticleLaw Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme
May 11, 2017The Securities and Exchange Commission today charged a former partner at an international law firm and his neighbor with making[...]
Read ArticleSEC Charges CEO With Failing to Disclose Perks to Shareholders
May 11, 2017Public companies must properly disclose perks, benefits, and other forms of compensation paid to CEOs and certain other highly compensated[...]
Read ArticleBarclays to Pay $97 Million for Overcharging Clients
May 10, 2017The Securities and Exchange Commission today announced an enforcement action requiring Barclays Capital to refund advisory fees or mutual fund[...]
Read ArticleBarclays to Pay $97 Million for Overcharging Clients
May 10, 2017The Securities and Exchange Commission today announced an enforcement action requiring Barclays Capital to refund advisory fees or mutual fund[...]
Read ArticleWilliam Hinman Named Director of Division of Corporation Finance
May 09, 2017The Securities and Exchange Commission today announced that William H. Hinman will be named the new director of the agency’s[...]
Read ArticleWilliam Hinman Named Director of Division of Corporation Finance
May 09, 2017The Securities and Exchange Commission today announced that William H. Hinman will be named the new director of the agency’s[...]
Read ArticleSEC Charges Former Staffer With Securities Fraud Violations
May 09, 2017The Securities and Exchange Commission today charged a former employee with securities fraud in connection with his trading of options[...]
Read ArticleSEC Charges Former Staffer With Securities Fraud Violations
May 09, 2017The Securities and Exchange Commission today charged a former employee with securities fraud in connection with his trading of options[...]
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