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.
Morgan 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 ArticleSEC Announces Agenda for February 15 Meeting of the Advisory Committee on Small and Emerging Companies
February 08, 2017The Securities and Exchange Commission today announced the agenda for the February 15 meeting of its Advisory Committee on Small[...]
Read ArticleSEC Announces Agenda for February 15 Meeting of the Advisory Committee on Small and Emerging Companies
February 08, 2017The Securities and Exchange Commission today announced the agenda for the February 15 meeting of its Advisory Committee on Small[...]
Read ArticleSEC Announces Agenda for February 15 Meeting of the Advisory Committee on Small and Emerging Companies
February 08, 2017The Securities and Exchange Commission today announced the agenda for the February 15 meeting of its Advisory Committee on Small[...]
Read ArticlePrivate Equity Adviser Barred From Industry for Improper Withdrawal From Funds
February 07, 2017The Securities and Exchange Commission today announced that a private equity adviser has been permanently barred from the securities industry[...]
Read ArticleSEC Charges Financial Adviser With Stealing From Client Accounts
February 03, 2017The Securities and Exchange Commission today charged an investment adviser representative with stealing approximately $5 million from client accounts by[...]
Read ArticleSEC Charges Investment Adviser With Stealing Investor Funds
February 02, 2017The Securities and Exchange Commission today charged a Connecticut-based investment advisory business and its owner with stealing money from investors[...]
Read ArticleSEC Charges Investment Adviser With Stealing Investor Funds
February 02, 2017The Securities and Exchange Commission today charged a Connecticut-based investment advisory business and its owner with stealing money from investors[...]
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