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 FOIA Office Receives Award for Exceptional Service

March 13, 2017

The Securities and Exchange Commission today announced that its Office of Freedom of Information Act (FOIA) Services was recognized by[...]

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SEC FOIA Office Receives Award for Exceptional Service

March 13, 2017

The Securities and Exchange Commission today announced that its Office of Freedom of Information Act (FOIA) Services was recognized by[...]

Read Article

SEC FOIA Office Receives Award for Exceptional Service

March 13, 2017

The Securities and Exchange Commission today announced that its Office of Freedom of Information Act (FOIA) Services was recognized by[...]

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Executives Charged With Manipulating Company’s Accounting Systems to Steal Money

March 10, 2017

The Securities and Exchange Commission today charged two former executives at a credit card processing company with masterminding a fraudulent[...]

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Executives Charged With Manipulating Company’s Accounting Systems to Steal Money

March 10, 2017

The Securities and Exchange Commission today charged two former executives at a credit card processing company with masterminding a fraudulent[...]

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SEC Charges Firms Involved in Layering, Manipulation Schemes

March 10, 2017

The Securities and Exchange Commission today announced fraud charges against a Ukraine-based trading firm accused of manipulating the U.S. markets[...]

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SEC Charges Firms Involved in Layering, Manipulation Schemes

March 10, 2017

The Securities and Exchange Commission today announced fraud charges against a Ukraine-based trading firm accused of manipulating the U.S. markets[...]

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Executives Charged With Manipulating Company’s Accounting Systems to Steal Money

March 10, 2017

The Securities and Exchange Commission today charged two former executives at a credit card processing company with masterminding a fraudulent[...]

Read Article

Executives Charged With Manipulating Company’s Accounting Systems to Steal Money

March 10, 2017

The Securities and Exchange Commission today charged two former executives at a credit card processing company with masterminding a fraudulent[...]

Read Article

SEC Charges Firms Involved in Layering, Manipulation Schemes

March 10, 2017

The Securities and Exchange Commission today announced fraud charges against a Ukraine-based trading firm accused of manipulating the U.S. markets[...]

Read Article

SEC Charges Firms Involved in Layering, Manipulation Schemes

March 10, 2017

The Securities and Exchange Commission today announced fraud charges against a Ukraine-based trading firm accused of manipulating the U.S. markets[...]

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SEC Charges Marijuana-Related Company and Executives With Touting Bogus Revenues

March 09, 2017

The Securities and Exchange Commission today charged a California-based company and its founder with falsely touting “record” revenue numbers to[...]

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