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.
Melissa Hodgman Named Associate Director in SEC Enforcement Division
October 14, 2016The Securities and Exchange Commission today announced that Melissa Hodgman has been named Associate Director in the SEC’s Enforcement Division.[...]
Read ArticleCompany to Pay Penalty for Stock Picking Game That Was An Unregistered Swap
October 13, 2016The Securities and Exchange Commission today announced that a New York-based company has agreed to pay a $50,000 penalty for[...]
Read ArticleSEC Adopts Rules to Modernize Information Reported by Funds, Require Liquidity Risk Management Programs, and Permit Swing Pricing
October 13, 2016The Securities and Exchange Commission today voted to adopt changes to modernize and enhance the reporting and disclosure of information[...]
Read ArticleHedge Fund Firm and Supervisor Charged With Failing to Prevent Insider Trading
October 13, 2016The Securities and Exchange Commission today announced that a hedge fund advisory firm and a senior research analyst have agreed[...]
Read ArticleSEC: Deutsche Bank Failed to Properly Safeguard Research Information
October 12, 2016The Securities and Exchange Commission today announced that Deutsche Bank Securities has agreed to pay a $9.5 million penalty for[...]
Read ArticleSEC Announces Enforcement Results for FY 2016
October 11, 2016The Securities and Exchange Commission today announced that, in fiscal year 2016, it filed 868 enforcement actions exposing financial reporting-related[...]
Read ArticleDavid Saltiel Named to Head Office of Analytics and Research in the Division of Trading and Markets
October 06, 2016The Securities and Exchange Commission today announced that it has named David H. Saltiel to head the Office of Analytics[...]
Read ArticleCredit Suisse Paying $90 Million Penalty for Misrepresenting Performance Metric
October 05, 2016The Securities and Exchange Commission today announced that Credit Suisse AG has agreed to pay a $90 million penalty and[...]
Read ArticleInvestment Adviser Charged With Cherry-Picking and Misleading Clients
October 04, 2016The Securities and Exchange Commission today announced fraud charges against an investment adviser accused of “cherry-picking” profitable trades for his[...]
Read ArticleSEC, FINRA and MSRB to Hold Compliance Outreach Program for Municipal Advisors
October 03, 2016The Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB) today announced[...]
Read ArticleAaron W. Lipson Named as Associate Regional Director for Enforcement in the SEC’s Atlanta Regional Office
September 30, 2016The Securities and Exchange Commission today announced that Aaron W. Lipson has been named the Associate Regional Director for enforcement[...]
Read ArticleFee Rate Advisory #2 for Fiscal Year 2017
September 30, 2016When fiscal year 2017 starts on October 1, 2016, the Securities and Exchange Commission will be operating under a short-term[...]
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