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 Announces Agenda for March 9 Investor Advisory Committee Meeting
February 23, 2017The Securities and Exchange Commission today announced the agenda for the March 9 meeting of its Investor Advisory Committee. The[...]
Read ArticleSEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers
February 23, 2017The Securities and Exchange Commission today published information and guidance for investors and the financial services industry on the fast-growing[...]
Read ArticleSEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers
February 23, 2017The Securities and Exchange Commission today published information and guidance for investors and the financial services industry on the fast-growing[...]
Read ArticleSEC to Host Crowdfunding Dialogue February 28
February 21, 2017The Securities and Exchange Commission will host a crowdfunding symposium Feb. 28, covering research, challenges, opportunities, and the effects of securities-based[...]
Read ArticleSEC to Host Crowdfunding Dialogue February 28
February 21, 2017The Securities and Exchange Commission will host a crowdfunding symposium Feb. 28, covering research, challenges, opportunities, and the effects of securities-based[...]
Read ArticleSEC to Host Crowdfunding Dialogue February 28
February 21, 2017The Securities and Exchange Commission will host a crowdfunding symposium Feb. 28, covering research, challenges, opportunities, and the effects of securities-based[...]
Read ArticleSEC to Host Crowdfunding Dialogue February 28
February 21, 2017The Securities and Exchange Commission will host a crowdfunding symposium Feb. 28, covering research, challenges, opportunities, and the effects of securities-based[...]
Read ArticleSEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings
February 17, 2017The Securities and Exchange Commission and the North American Securities Administrators Association today signed an information-sharing agreement as new rules[...]
Read ArticleSEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings
February 17, 2017The Securities and Exchange Commission and the North American Securities Administrators Association today signed an information-sharing agreement as new rules[...]
Read ArticleSEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings
February 17, 2017The Securities and Exchange Commission and the North American Securities Administrators Association today signed an information-sharing agreement as new rules[...]
Read ArticleSEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings
February 17, 2017The Securities and Exchange Commission and the North American Securities Administrators Association today signed an information-sharing agreement as new rules[...]
Read ArticleSEC Charges Fuel Cell Company and Officers With Defrauding Investors
February 14, 2017The Securities and Exchange Commission today charged a California-based penny stock company and four corporate officers with misleading investors about[...]
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