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.
Fee 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[...]
Read Article$22 Million Whistleblower Award for Company Insider Who Helped Uncover Fraud
August 30, 2016The Securities and Exchange Commission today announced the award of more than $22 million to a whistleblower whose detailed tip[...]
Read ArticleSEC Adopts Amendments Providing Authorities Access to Data Obtained by Security-Based Swap Data Repositories
August 29, 2016The Securities and Exchange Commission today adopted amendments to a rule that would require security-based swap data repositories to make[...]
Read ArticleSEC: Purported Green Technology Company Defrauding Investors
August 26, 2016The Securities and Exchange Commission today charged a California-based company and two executives with using baseless financial projections and other[...]
Read ArticleSEC Seeks Public Comment on Disclosure Requirements Relating to Management, Security Holders and Corporate Governance Matters
August 25, 2016The Securities and Exchange Commission today announced that it is seeking public comment on disclosure requirements in Subpart 400 of[...]
Read ArticleSEC Adopts Rules to Enhance Information Reported by Investment Advisers
August 25, 2016The Securities and Exchange Commission today adopted amendments to several Investment Advisers Act rules and the investment adviser registration and[...]
Read ArticleInvestment Advisers Paying Penalties for Advertising False Performance Claims
August 25, 2016The Securities and Exchange Commission today announced penalties against 13 investment advisory firms found to have violated securities laws by[...]
Read ArticleSEC Charges 71 Municipal Issuers in Muni Bond Disclosure Initiative
August 24, 2016The Securities and Exchange Commission today announced enforcement actions against 71 municipal issuers and other obligated persons for violations in[...]
Read ArticleApollo Charged With Disclosure and Supervisory Failures
August 23, 2016The Securities and Exchange Commission today announced that four private equity fund advisers affiliated with Apollo Global Management have agreed[...]
Read ArticleCompany Punished for Severance Agreements That Removed Financial Incentives for Whistleblowing
August 16, 2016The Securities and Exchange Commission today announced that a California-based health insurance provider has agreed to pay a $340,000 penalty[...]
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