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 Businessman With Misusing EB-5 Investments
January 17, 2017The Securities and Exchange Commission today announced fraud charges against an Oakland, Calif.-based businessman accused of misusing money he raised[...]
Read ArticleSEC Charges Businessman With Misusing EB-5 Investments
January 17, 2017The Securities and Exchange Commission today announced fraud charges against an Oakland, Calif.-based businessman accused of misusing money he raised[...]
Read ArticleAllergan Paying $15 Million Penalty for Disclosure Failures During Merger Talks
January 17, 2017The Securities and Exchange Commission today announced that Allergan Inc. has agreed to admit securities law violations and pay a[...]
Read ArticleAllergan Paying $15 Million Penalty for Disclosure Failures During Merger Talks
January 17, 2017The Securities and Exchange Commission today announced that Allergan Inc. has agreed to admit securities law violations and pay a[...]
Read Article10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions
January 17, 2017The Securities and Exchange Commission today announced that 10 investment advisory firms have agreed to pay penalties ranging from $35,000[...]
Read ArticleBlackRock Charged With Removing Whistleblower Incentives in Separation Agreements
January 17, 2017The Securities and Exchange Commission today announced that New York-based asset manager BlackRock Inc. has agreed to pay a $340,000[...]
Read ArticleChemical and Mining Company in Chile Paying $30 Million to Resolve FCPA Cases
January 13, 2017The Securities and Exchange Commission today announced that Chilean-based chemical and mining company Sociedad Quimica y Minera de Chile S.A.[...]
Read ArticleMorgan Stanley Paying $13 Million Penalty for Overbilling Clients and Violating Custody Rule
January 13, 2017The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney has agreed to pay a $13 million penalty[...]
Read ArticleCitadel Securities Paying $22 Million for Misleading Clients About Pricing Trades
January 13, 2017The Securities and Exchange Commission today announced that Citadel Securities LLC has agreed to pay $22.6 million to settle charges[...]
Read ArticleMichael J. Osnato Jr., Chief of Enforcement Division’s Complex Financial Instruments Unit, to Leave SEC
January 12, 2017The Securities and Exchange Commission today announced that Michael J. Osnato Jr., Chief of the Enforcement Division’s Complex Financial Instruments[...]
Read ArticleBNY Mellon Settles Charges Stemming From Miscalculations of Regulatory Capital Figures
January 12, 2017The Securities and Exchange Commission today announced that BNY Mellon has agreed to pay a $6.6 million penalty to settle[...]
Read ArticleBiomet Charged With Repeating FCPA Violations
January 12, 2017The Securities and Exchange Commission today announced that a Warsaw, Ind.-based medical device manufacturer has agreed to pay more than[...]
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