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 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 ArticleSEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans
June 28, 2016The Securities and Exchange Commission today proposed a new rule that would require registered investment advisers to adopt and implement[...]
Read ArticleSEC Adopts Rules for Resource Extraction Issuers Under Dodd-Frank Act
June 27, 2016The Securities and Exchange Commission today announced it adopted rules to require resource extraction issuers to disclose payments made to[...]
Read ArticleSEC Proposes Amendments to Smaller Reporting Company Definition
June 27, 2016The Securities and Exchange Commission voted today to propose amendments that would increase the financial thresholds in the “smaller reporting[...]
Read ArticleSEC Charges “Frack Master” With Running an $80 Million Oil and Gas Fraud
June 24, 2016The Securities and Exchange Commission today charged four companies and eight individuals in an $80 million oil and gas fraud[...]
Read ArticleMerrill Lynch Paying $10 Million Penalty for Misleading Investors in Structured Notes
June 23, 2016The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay a $10 million penalty to settle[...]
Read ArticleMerrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk
June 23, 2016The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay $415 million and admit wrongdoing to[...]
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