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, 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[...]
Read ArticleBiotech Employee Charged With Insider Trading Ahead of Company’s Announcements About Breast Cancer Drug
September 29, 2016The Securities and Exchange Commission today charged the former senior director of regulatory affairs for Puma Biotechnology with insider trading[...]
Read ArticleSEC: Casino-Gaming Company Retaliated Against Whistleblower
September 29, 2016The Securities and Exchange Commission today announced that casino-gaming company International Game Technology (IGT) has agreed to pay a half-million[...]
Read ArticleOch-Ziff Hedge Fund Settles FCPA Charges
September 29, 2016The Securities and Exchange Commission today announced that Och-Ziff Capital Management Group has agreed to pay nearly $200 million to[...]
Read ArticleSEC Announces Agenda for October 5 Meeting of the Advisory Committee on Small and Emerging Companies
September 29, 2016The Securities and Exchange Commission today announced the agenda for the October 5 meeting of its Advisory Committee on Small[...]
Read ArticleJane Norberg Named Chief of SEC Whistleblower Office
September 28, 2016The Securities and Exchange Commission today announced that Jane Norberg has been promoted to chief of the SEC’s Office of[...]
Read ArticleSEC Proposes Rule Amendment to Expedite Process for Settling Securities Transactions
September 28, 2016The Securities and Exchange Commission today voted to propose a rule amendment to shorten the standard settlement cycle for most[...]
Read ArticleSEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies
September 28, 2016The Securities and Exchange Commission voted today to adopt new rules to establish enhanced standards for the operation and governance[...]
Read ArticleSEC Files Insider Trading Charges Against Peruvian Traders Using Overseas Accounts
September 28, 2016The Securities and Exchange Commission today charged two lawyers and a brokerage firm manager in Peru with insider trading prior[...]
Read ArticleSEC Charges UBS With Supervisory Failures in Sale of Complex Products to Retail Investors
September 28, 2016The Securities and Exchange Commission today announced that UBS Financial Services has agreed to pay more than $15 million to[...]
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