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 Cases Related to Disclosures During Battles for Corporate Control
February 14, 2017The Securities and Exchange Commission today announced two enforcement actions involving disclosure violations that deprived investors of material information during[...]
Read ArticlePurported Real Estate Investment Manager Settles Fraud Charges
February 14, 2017The Securities and Exchange Commission today announced that a purported real estate investment manager has agreed to pay more than[...]
Read ArticleMorgan Stanley Settles Charges Related to ETF Investments
February 14, 2017The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty[...]
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[...]
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[...]
Read ArticleSEC Announces Cases Related to Disclosures During Battles for Corporate Control
February 14, 2017The Securities and Exchange Commission today announced two enforcement actions involving disclosure violations that deprived investors of material information during[...]
Read ArticlePurported Real Estate Investment Manager Settles Fraud Charges
February 14, 2017The Securities and Exchange Commission today announced that a purported real estate investment manager has agreed to pay more than[...]
Read ArticleMorgan Stanley Settles Charges Related to ETF Investments
February 14, 2017The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty[...]
Read ArticleBrokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures
February 13, 2017The Securities and Exchange Commission today announced that a New York-based brokerage firm has agreed to pay a $100,000 penalty[...]
Read ArticleBrokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures
February 13, 2017The Securities and Exchange Commission today announced that a New York-based brokerage firm has agreed to pay a $100,000 penalty[...]
Read ArticleSEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition
February 10, 2017The Securities and Exchange Commission today announced that it obtained an emergency court order freezing brokerage accounts holding more than[...]
Read ArticleSEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition
February 10, 2017The Securities and Exchange Commission today announced that it obtained an emergency court order freezing brokerage accounts holding more than[...]
Read Article