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.
Firm, CEO Settle Charges in Ponzi-Like Scheme Involving Life Settlements
May 04, 2017The Securities and Exchange Commission today announced that a New Jersey-based firm and its CEO have agreed to pay more[...]
Read ArticleFirm, CEO Settle Charges in Ponzi-Like Scheme Involving Life Settlements
May 04, 2017The Securities and Exchange Commission today announced that a New Jersey-based firm and its CEO have agreed to pay more[...]
Read ArticleSEC Staff Supplements Quarterly Private Funds Statistics
May 03, 2017The U.S. Securities and Exchange Commission staff today published a suite of new data and analyses of private fund statistics[...]
Read ArticleSEC Staff Supplements Quarterly Private Funds Statistics
May 03, 2017The U.S. Securities and Exchange Commission staff today published a suite of new data and analyses of private fund statistics[...]
Read ArticleSEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers
May 03, 2017Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission and[...]
Read ArticleSEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers
May 03, 2017Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission and[...]
Read ArticleWhistleblower Award of More Than Half-Million Dollars for Company Insider
May 02, 2017The Securities and Exchange Commission today announced that a company insider has earned a whistleblower award of more than $500,000[...]
Read ArticleWhistleblower Award of More Than Half-Million Dollars for Company Insider
May 02, 2017The Securities and Exchange Commission today announced that a company insider has earned a whistleblower award of more than $500,000[...]
Read ArticleSEC and NYU to Host Forum on Reviving IPO Market to Help Drive Economy, Create Jobs
May 02, 2017Going public has helped many companies grow and create jobs, so why has the number of initial public offerings (IPOs)[...]
Read ArticleSEC and NYU to Host Forum on Reviving IPO Market to Help Drive Economy, Create Jobs
May 02, 2017Going public has helped many companies grow and create jobs, so why has the number of initial public offerings (IPOs)[...]
Read ArticleSemiconductor Company and Former CFO Settle Accounting Fraud Charges
May 01, 2017The Securities and Exchange Commission today announced that a South Korea-based semiconductor manufacturer and its former CFO have agreed to[...]
Read ArticleSemiconductor Company and Former CFO Settle Accounting Fraud Charges
May 01, 2017The Securities and Exchange Commission today announced that a South Korea-based semiconductor manufacturer and its former CFO have agreed to[...]
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