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 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[...]
Read ArticleWenchi Hu, Associate Director in the Division of Trading and Markets, to Leave SEC
January 30, 2017The Securities and Exchange Commission today announced that Wenchi Hu, an Associate Director in the Division of Trading and Markets,[...]
Read ArticleOCIE Director Marc Wyatt to Leave SEC
January 30, 2017The Securities and Exchange Commission today announced that Marc Wyatt, Director of the Office of Compliance Inspections and Examinations, will[...]
Read ArticleSEC Announces Charges in Hamilton Ticket Resale Ponzi Scheme
January 27, 2017The Securities and Exchange Commission today announced fraud charges against two New York City men accused of running a Ponzi[...]
Read ArticleChief Operating Officer Jeffery Heslop to Leave SEC
January 27, 2017The Securities and Exchange Commission today announced SEC Chief Operating Officer Jeffery Heslop will leave the agency in February. Mr.[...]
Read ArticleCitigroup Paying $18 Million for Overbilling Clients
January 26, 2017The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay $18.3 million to settle charges[...]
Read ArticleCitigroup Paying $18 Million for Overbilling Clients
January 26, 2017The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay $18.3 million to settle charges[...]
Read ArticleSEC Charges Two Former Och-Ziff Executives With FCPA Violations
January 26, 2017The Securities and Exchange Commission today charged two former executives at Och-Ziff Capital Management Group with being the driving forces[...]
Read ArticleSEC Charges Two Former Och-Ziff Executives With FCPA Violations
January 26, 2017The Securities and Exchange Commission today charged two former executives at Och-Ziff Capital Management Group with being the driving forces[...]
Read ArticleBrokerage Firm Charged With Gatekeeper Failures Related to Pump-and-Dump Scheme
January 25, 2017The Securities and Exchange Commission today announced administrative proceedings against New York-based brokerage firm Windsor Street Capital and its former[...]
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