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 Halts Boiler Room Scheme Involving State Lottery Tickets
March 27, 2017The Securities and Exchange Commission today announced charges against a Florida-based company, its CEO, and its top sales agent accused[...]
Read ArticleSEC Halts Boiler Room Scheme Involving State Lottery Tickets
March 27, 2017The Securities and Exchange Commission today announced charges against a Florida-based company, its CEO, and its top sales agent accused[...]
Read ArticleOverseas Traders Paying Back All Profits Plus Penalties in Insider Trading Case
March 24, 2017The Securities and Exchange Commission today announced that three Peruvian traders have agreed to settle a pending case alleging that[...]
Read ArticleOverseas Traders Paying Back All Profits Plus Penalties in Insider Trading Case
March 24, 2017The Securities and Exchange Commission today announced that three Peruvian traders have agreed to settle a pending case alleging that[...]
Read ArticleSEC Announces 2017 Compliance Outreach Program Seminars for Investment Companies and Investment Advisers
March 23, 2017The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program seminars for investment companies[...]
Read ArticleSEC Announces 2017 Compliance Outreach Program Seminars for Investment Companies and Investment Advisers
March 23, 2017The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program seminars for investment companies[...]
Read ArticleSEC Adopts T+2 Settlement Cycle for Securities Transactions
March 22, 2017The Securities and Exchange Commission today adopted an amendment to shorten by one business day the standard settlement cycle for[...]
Read ArticleSEC Adopts T+2 Settlement Cycle for Securities Transactions
March 22, 2017The Securities and Exchange Commission today adopted an amendment to shorten by one business day the standard settlement cycle for[...]
Read ArticleSEC, National Bank of Belgium Agree to Enhanced Cooperation and Information Sharing Regarding Euroclear
March 14, 2017The Securities and Exchange Commission today announced that it has entered into an arrangement with the National Bank of Belgium[...]
Read ArticleAuditor Charged With Insider Trading on Client’s Nonpublic Information
March 14, 2017The Securities and Exchange Commission today announced that an auditor based in the Silicon Valley has agreed to settle charges[...]
Read ArticleSEC, National Bank of Belgium Agree to Enhanced Cooperation and Information Sharing Regarding Euroclear
March 14, 2017The Securities and Exchange Commission today announced that it has entered into an arrangement with the National Bank of Belgium[...]
Read ArticleSEC, National Bank of Belgium Agree to Enhanced Cooperation and Information Sharing Regarding Euroclear
March 14, 2017The Securities and Exchange Commission today announced that it has entered into an arrangement with the National Bank of Belgium[...]
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