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 Halts Scheme Defrauding Pro Athletes
June 21, 2016The Securities and Exchange Commission today announced that it has obtained a court order freezing the assets of an investment[...]
Read ArticleSEC Approves IEX Proposal to Launch National Exchange, Issues Interpretation on Automated Securities Prices
June 17, 2016The Securities and Exchange Commission today approved Investors’ Exchange LLC’s (IEX) application to register as a national securities exchange. At[...]
Read ArticleSoftware Executive and Three Friends Charged With Insider Trading
June 16, 2016The Securities and Exchange Commission today announced insider trading charges against a former software company executive and three close friends[...]
Read ArticleSEC Proposes Rules to Modernize Property Disclosures for Mining Registrants
June 16, 2016The Securities and Exchange Commission today announced that it has proposed rules to modernize the disclosure requirements for mining properties[...]
Read ArticlePrivate Fund Administrator Charged With Gatekeeper Failures
June 16, 2016The Securities and Exchange Commission today announced that a firm providing administrative services to private funds has agreed to pay[...]
Read ArticleHedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme
June 15, 2016Lumiere allegedly used fake prices to value assets while investors were led to believe the fund was using real prices[...]
Read ArticleSEC: Muni Advisors Acted Deceptively With California School Districts
June 13, 2016The Securities and Exchange Commission today announced that two California-based municipal advisory firms and their executives have agreed to settle[...]
Read ArticleSEC to Permit Voluntary Filing Using Inline XBRL
June 13, 2016The Securities and Exchange Commission today announced that it will allow companies to voluntarily file structured financial statement data in[...]
Read ArticleInvestment Fraud Victims Include Online Daters
June 10, 2016The Securities and Exchange Commission today announced fraud charges and an asset freeze obtained against a Connecticut man accused of[...]
Read ArticleConsultant to Chinese Private Equity Firms Settles Insider Trading Charges
June 09, 2016The Securities and Exchange Commission today announced that a former consultant to two China-based private equity firms has agreed to[...]
Read ArticleSEC Issues $17 Million Whistleblower Award
June 09, 2016The Securities and Exchange Commission today announced a whistleblower award of more than $17 million to a former company employee[...]
Read ArticleSEC: Ethiopia’s Electric Utility Sold Unregistered Bonds in U.S.
June 08, 2016The Securities and Exchange Commission today announced that Ethiopia’s electric utility has agreed to pay nearly $6.5 million to settle[...]
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