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.
“Stock Trading Whiz Kid” to Pay $1.5 Million to Settle Stock Newsletter Fraud Charges
September 13, 2016The Securities and Exchange Commission today announced that a self-proclaimed “stock trading whiz kid” and his stock newsletter company in[...]
Read ArticleSEC: Company Failed to Disclose Credit Risk in Investments
September 13, 2016The Securities and Exchange Commission today announced that a Portuguese-based telecommunications company has agreed to pay a $1.25 million penalty[...]
Read ArticleBOK Financial, Senior Executive Charged With Turning Blind Eye to Investment Scheme
September 09, 2016The Securities and Exchange Commission today announced that a subsidiary of Oklahoma-based BOK Financial Corporation has agreed to pay more[...]
Read ArticleTwo Firms Charged With Compliance Failures in Wrap Fee Programs
September 08, 2016The Securities and Exchange Commission today announced that two investment advisory firms are settling charges related to compliance failures within[...]
Read ArticleExecutives Charged With Inflating Performance of Real Estate Investment Trust
September 08, 2016The Securities and Exchange Commission today charged two former accounting executives with overstating the financial performance of a large publicly-traded[...]
Read ArticleSEC Names Sarah G. ten Siethoff Deputy Associate Director in the Division of Investment Management’s Rulemaking Office
September 07, 2016The Securities and Exchange Commission today announced that Sarah G. ten Siethoff has been named Deputy Associate Director in the[...]
Read ArticleSEC Charges CEO and Paid Promoter With Fraudulently Promoting Stock of Las Vegas Health Products Company
September 06, 2016The Securities and Exchange Commission today charged the CEO of a sexual health products retailer and a paid promoter with[...]
Read ArticleSEC Charges Alabama Attorney and His Companies in Purported Waste-To-Energy Ventures
September 01, 2016The Securities and Exchange Commission today charged Alabama attorney Donald Watkins and companies he controls with defrauding professional athletes and[...]
Read ArticleSEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings
August 31, 2016The Securities and Exchange Commission today proposed rule and form amendments that would require registrants to include a hyperlink to[...]
Read ArticleFee Rate Advisory #1 for Fiscal Year 2017
August 31, 2016The Securities and Exchange Commission today announced that in fiscal year 2017 the fees that public companies and other issuers[...]
Read ArticleRBC to Pay $2.5 Million for Proxy Statement Disclosure Violations
August 31, 2016The Securities and Exchange Commission today announced that RBC Capital Markets LLC has agreed to a $2.5 million settlement for[...]
Read ArticleSEC Whistleblower Program Surpasses $100 Million in Awards
August 30, 2016The Securities and Exchange Commission’s awards to whistleblowers have surpassed the $100 million mark with the program’s second-largest award of[...]
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