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 Adopts JOBS Act Amendments to Help Entrepreneurs and Investors
April 05, 2017The Securities and Exchange Commission today announced that it has adopted amendments to increase the amount of money companies can[...]
Read ArticleSEC Charges Muni Bond Underwriter With Gatekeeper Failures
April 05, 2017The Securities and Exchange Commission today announced that an Arizona-based brokerage firm, its CEO, and its former underwriter’s counsel have[...]
Read ArticleKara Novaco Brockmeyer, Chief of FCPA Unit, to Leave SEC After 17 Years of Service
April 04, 2017The Securities and Exchange Commission today announced that Kara Novaco Brockmeyer, Chief of the Enforcement Division’s Foreign Corrupt Practices Act[...]
Read ArticleKara Novaco Brockmeyer, Chief of FCPA Unit, to Leave SEC After 17 Years of Service
April 04, 2017The Securities and Exchange Commission today announced that Kara Novaco Brockmeyer, Chief of the Enforcement Division’s Foreign Corrupt Practices Act[...]
Read ArticleSEC Announces Agenda for April 5 Meeting of the Equity Market Structure Advisory Committee
March 30, 2017The Securities and Exchange Commission today announced its Equity Market Structure Advisory Committee will meet on April 5 beginning at[...]
Read ArticleSEC Announces Agenda for April 5 Meeting of the Equity Market Structure Advisory Committee
March 30, 2017The Securities and Exchange Commission today announced its Equity Market Structure Advisory Committee will meet on April 5 beginning at[...]
Read ArticleSEC Charges Pastor With Defrauding Retirees
March 30, 2017The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze obtained against a Michigan-based pastor accused[...]
Read ArticleSEC Charges Pastor With Defrauding Retirees
March 30, 2017The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze obtained against a Michigan-based pastor accused[...]
Read ArticleSEC Names Sagar S. Teotia as Deputy Chief Accountant
March 30, 2017The Securities and Exchange Commission today announced the appointment of Sagar S. Teotia as a Deputy Chief Accountant in the[...]
Read ArticleSEC Names Sagar S. Teotia as Deputy Chief Accountant
March 30, 2017The Securities and Exchange Commission today announced the appointment of Sagar S. Teotia as a Deputy Chief Accountant in the[...]
Read ArticleSEC Halts Fraud Targeting Seniors
March 27, 2017The Securities and Exchange Commission today announced an emergency asset freeze and temporary restraining order against a Chicago-based investment adviser[...]
Read ArticleSEC Halts Fraud Targeting Seniors
March 27, 2017The Securities and Exchange Commission today announced an emergency asset freeze and temporary restraining order against a Chicago-based investment adviser[...]
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