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 Renewable Energy Company, CEO, and Others With Defrauding Investors
November 17, 2016The Securities and Exchange Commission today filed fraud charges against four individuals and others who allegedly profited by defrauding investors[...]
Read ArticleJPMorgan Chase Paying $264 Million to Settle FCPA Charges
November 17, 2016The Securities and Exchange Commission today announced that JPMorgan Chase & Co. has agreed to pay more than $130 million[...]
Read ArticleSEC Approves Plan to Create Consolidated Audit Trail
November 15, 2016The Securities and Exchange Commission today voted to approve a national market system (NMS) plan to create a single, comprehensive[...]
Read ArticleSEC Announces Agenda and Panelists for the 35th Annual Small Business Forum
November 15, 2016The Securities and Exchange Commission today announced the agenda and panelists for the 35th Annual Government-Business Forum on Small Business[...]
Read ArticleSEC Chair Mary Jo White Announces Departure Plans
November 14, 2016SEC Chair Mary Jo White, after nearly four years as the agency’s head, today announced that she intends to leave[...]
Read ArticleSEC Issues $20 Million Whistleblower Award
November 14, 2016The Securities and Exchange Commission today announced an award of more than $20 million to a whistleblower who promptly came[...]
Read ArticleFirm Charged With Misleading Investors About Binary Options Profitability
November 10, 2016The Securities and Exchange Commission today announced that an Israeli-based firm must pay more than $1.7 million for misleading investors[...]
Read ArticleMovie Producer Charged With Defrauding Hedge Fund Investors
November 09, 2016The Securities and Exchange Commission today charged a former movie producer and self-proclaimed private equity executive with defrauding investors in[...]
Read ArticleSEC Announces Agenda, Panelists for Nov. 14 Fintech Forum
November 03, 2016The Securities and Exchange Commission today announced the agenda and panelists for its Nov. 14 forum to discuss fintech innovation[...]
Read ArticleSEC Names Marc A. Panucci as Deputy Chief Accountant
November 02, 2016The Securities and Exchange Commission today announced the appointment of Marc A. Panucci as a Deputy Chief Accountant in the[...]
Read ArticleSEC Staff Provides Additional Economic Analysis on Proposed Derivatives Rule
November 01, 2016Securities and Exchange Commission staff today made available additional economic analysis related to the Commission’s proposed rule regarding the use of derivatives by registered funds and business development companies. The analysis[...]
Read ArticleCompany Co-Founder Charged in Manipulation Scheme
October 31, 2016The Securities and Exchange Commission today charged the co-founder of a Minnesota-based energy company with manipulating its stock price and[...]
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