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 Stockbroker and Friend With Insider Trading
August 11, 2016The Securities and Exchange Commission today charged a stockbroker and his friend with participating in an insider trading scheme to[...]
Read ArticleSEC Charges Former Professional Football Player With Running $10 Million Fraud
August 10, 2016The Securities and Exchange Commission today charged Merrill Robertson Jr., a former player for the Philadelphia Eagles, with defrauding investors,[...]
Read ArticleKristin Snyder Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program
August 10, 2016The Securities and Exchange Commission today announced that Kristin Snyder has been named Co-National Associate Director of the Investment Adviser/Investment[...]
Read ArticleCompany Paying Penalty for Violating Key Whistleblower Protection Rule
August 10, 2016The Securities and Exchange Commission today announced that an Atlanta-based building products distributor is settling charges that it violated securities[...]
Read ArticleSEC Charges Cardiologist With Insider Trading on Confidential Drug Trial Developments
August 04, 2016The Securities and Exchange Commission today charged a cardiologist with insider trading on confidential developments as he worked on a[...]
Read ArticleStatement Regarding Progress on the Review of the U.S. Treasury Market Structure since the July 2015 Joint Staff Report
August 02, 2016The U.S. Department of the Treasury, the Board of Governors of the Federal Reserve System, the Federal Reserve Bank of[...]
Read ArticleSEC Announces Agenda for August 2 Meeting of the Equity Market Structure Advisory Committee
July 28, 2016The Securities and Exchange Commission will hold a meeting of the Equity Market Structure Advisory Committee on August 2, beginning[...]
Read ArticleSEC Obtains Asset Freeze in Case of Investor Funds Stolen for Shopping Sprees
July 28, 2016The Securities and Exchange Commission today announced an asset freeze it has obtained against three men who aren’t registered to[...]
Read ArticleSEC: State Street Misled Custody Clients About Prices for Foreign Currency Exchange Trades
July 26, 2016The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay $382.4 million[...]
Read ArticleLAN Airlines Settles FCPA Charges
July 25, 2016The Securities and Exchange Commission today announced that South American-based LAN Airlines has agreed to pay more than $22 million[...]
Read ArticleVincente L. Martinez, Chief of Office of Market Intelligence, to Leave SEC
July 22, 2016The Securities and Exchange Commission today announced that Vincente L. Martinez, Chief of the SEC’s Office of Market Intelligence is[...]
Read ArticleDeputy Chief Accountant Brian T. Croteau to Leave SEC
July 22, 2016The Securities and Exchange Commission today announced that Brian T. Croteau, Deputy Chief Accountant, is planning to leave the agency.[...]
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