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.
Kurt Gottschall Named Associate Regional Director in the SEC’s Denver Regional Office
July 20, 2016The Securities and Exchange Commission today announced that Kurt L. Gottschall has been named the Associate Regional Director for enforcement[...]
Read ArticleSEC Announces Agenda for July 19 Meeting of the Advisory Committee on Small and Emerging Companies
July 14, 2016The Securities and Exchange Commission today announced the agenda for the July 19 meeting of its Advisory Committee on Small[...]
Read ArticleSEC Charges Investment Adviser With Failing to Clearly Disclose Additional Costs to Investors
July 14, 2016The Securities and Exchange Commission today announced an enforcement action against an investment advisory firm that failed to properly prepare[...]
Read ArticleSEC Adopts Amendments to Rules of Practice for Administrative Proceedings
July 13, 2016The Securities and Exchange Commission today adopted amendments updating its rules of practice governing its administrative proceedings. “The amendments[...]
Read ArticleSEC Proposes Amendments to Update and Simplify Disclosure Requirements As Part of Overall Disclosure Effectiveness Review
July 13, 2016The Securities and Exchange Commission today voted to propose amendments to eliminate redundant, overlapping, outdated, or superseded provisions, in light[...]
Read ArticleSEC Proposes Rules to Enhance Order Handling Information Available to Investors
July 13, 2016The Securities and Exchange Commission today voted to propose rules that for the first time would require broker-dealers to disclose[...]
Read ArticleSEC Adopts Additional Rules Related to Security-Based Swap Transaction Reporting
July 13, 2016The Securities and Exchange Commission today announced that it has adopted amendments and guidance related to rules regarding the regulatory[...]
Read ArticleSEC: Citigroup Provided Incomplete Blue Sheet Data for 15 Years
July 12, 2016The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay a $7 million penalty and[...]
Read ArticleSEC Announces New Investor Advisory Committee Members
July 12, 2016The Securities and Exchange Commission today announced the appointment of three new members to its Investor Advisory Committee, and the reappointment[...]
Read ArticleSean McKessy, Chief of Whistleblower Office, to Leave SEC
July 08, 2016The Securities and Exchange Commission today announced that Sean McKessy, Chief of the SEC’s Office of the Whistleblower, is planning[...]
Read ArticlePaul Dudek, Chief of Office of International Corporate Finance, to Leave Agency
June 29, 2016The Securities and Exchange Commission today announced that Paul Dudek, Chief of the Office of International Corporate Finance in the[...]
Read ArticleC. Dabney O’Riordan Named as Co-Chief of the Asset Management Unit
June 28, 2016The Securities and Exchange Commission today announced that C. Dabney O’Riordan has been named co-chief of the Division of Enforcement’s[...]
Read Article