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 EB-5 Operator With Securities Fraud
April 28, 2017The Securities and Exchange Commission today announced that an Idaho man has agreed to pay back several million dollars he[...]
Read ArticleSEC Charges EB-5 Operator With Securities Fraud
April 28, 2017The Securities and Exchange Commission today announced that an Idaho man has agreed to pay back several million dollars he[...]
Read ArticleExecutives Charged in Connection With Accounting Failures at Government Contractor
April 28, 2017The Securities and Exchange Commission today announced charges against two former executives at a government contractor that was the subject[...]
Read ArticleExecutives Charged in Connection With Accounting Failures at Government Contractor
April 28, 2017The Securities and Exchange Commission today announced charges against two former executives at a government contractor that was the subject[...]
Read ArticleBroker Charged With Defrauding Customers
April 25, 2017The Securities and Exchange Commission today charged a former broker with knowingly or recklessly trading unsuitable investment products in the[...]
Read ArticleBroker Charged With Defrauding Customers
April 25, 2017The Securities and Exchange Commission today charged a former broker with knowingly or recklessly trading unsuitable investment products in the[...]
Read ArticleSEC Awards Nearly $4 Million to Whistleblower
April 25, 2017The Securities and Exchange Commission today announced an award of nearly $4 million to a whistleblower who tipped the agency[...]
Read ArticleSEC Awards Nearly $4 Million to Whistleblower
April 25, 2017The Securities and Exchange Commission today announced an award of nearly $4 million to a whistleblower who tipped the agency[...]
Read ArticleInvestment Bank VP Charged With Insider Trading
April 24, 2017The Securities and Exchange Commission today charged a vice president in the risk management department of a New York-based investment[...]
Read ArticleInvestment Bank VP Charged With Insider Trading
April 24, 2017The Securities and Exchange Commission today charged a vice president in the risk management department of a New York-based investment[...]
Read ArticlePortfolio Manager Charged With Diverting Nearly $2 Million to Personal Account
April 24, 2017The Securities and Exchange Commission today announced fraud charges against a Massachusetts-based portfolio manager accused of diverting at least $1.95[...]
Read ArticlePortfolio Manager Charged With Diverting Nearly $2 Million to Personal Account
April 24, 2017The Securities and Exchange Commission today announced fraud charges against a Massachusetts-based portfolio manager accused of diverting at least $1.95[...]
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