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.
ITG Paying $24 Million for Improper Handling of ADRs
January 12, 2017The Securities and Exchange Commission today announced that broker ITG agreed to pay more than $24.4 million to settle charges[...]
Read ArticleSEC Charges Government Contractor With Inadequate Controls and Books and Records Violations
January 11, 2017The Securities and Exchange Commission today announced that L3 Technologies Inc. (formerly known as L-3 Communications Holdings Inc.), a contractor[...]
Read ArticleSEC: Port Authority Omitted Risks to Investors in Roadway Projects
January 10, 2017The Securities and Exchange Commission today announced that the Port Authority of New York and New Jersey has agreed to[...]
Read ArticleInvestment Adviser, Lawyer Settle Charges in Secret Referral Fee Scheme
January 09, 2017The Securities and Exchange Commission today announced that a Connecticut-based investment adviser has agreed to admit wrongdoing and pay more[...]
Read ArticleSEC Charges Two Brokers With Defrauding Customers
January 09, 2017The Securities and Exchange Commission today charged two New York-based brokers with fraudulently using an in-and-out trading strategy that was[...]
Read ArticleSEC Awards $5.5 Million to Whistleblower
January 06, 2017The Securities and Exchange Commission today announced an award of more than $5.5 million to a whistleblower who provided critical[...]
Read ArticleWire and Cable Manufacturer Settles FCPA and Accounting Charges
December 29, 2016The Securities and Exchange Commission today announced that Kentucky-based General Cable Corporation agreed to pay more than $75 million to[...]
Read ArticleBusinessman Settles Charges of Fraudulent EB-5 Offering
December 28, 2016The Securities and Exchange Commission today announced that a Florida-based businessman has agreed to settle charges that he misused investor[...]
Read ArticleSEC Charges Lawyer With Stealing Investor Money in EB-5 Offerings
December 27, 2016The Securities and Exchange Commission today charged a California-based attorney with defrauding investors seeking to participate in the EB-5 immigrant[...]
Read ArticleChinese Traders Charged With Trading on Hacked Nonpublic Information Stolen From Two Law Firms
December 27, 2016The Securities and Exchange Commission today charged three Chinese traders with fraudulently trading on hacked nonpublic market-moving information stolen from[...]
Read ArticleSEC Names Timothy Husson Associate Director in the Division of Investment Management’s Risk and Examinations Office
December 22, 2016The Securities and Exchange Commission today named Timothy Husson Associate Director in the Division of Investment Management’s Risk and Examinations[...]
Read ArticleSEC Names Sara P. Crovitz Deputy Chief Counsel in the Division of Investment Management’s Chief Counsel’s Office
December 22, 2016The Securities and Exchange Commission today named Sara P. Crovitz Deputy Chief Counsel and Associate Director in the Division of[...]
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