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.
Investment 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[...]
Read ArticleSEC: Morgan Stanley Failed to Safeguard Customer Data
June 08, 2016The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million[...]
Read ArticleSEC Adopts Trade Acknowledgment and Verification Rules for Security-Based Swap Transactions
June 08, 2016The Securities and Exchange Commission today announced that is has adopted rules that will establish timely and accurate trade acknowledgment[...]
Read ArticleSEC Bars Corporate VP and Controller for False Accounting
June 08, 2016The Securities and Exchange Commission today announced that it has barred a former corporate vice president and suspended a former[...]
Read ArticleSEC Announces Two Non-Prosecution Agreements in FCPA Cases
June 07, 2016The Securities and Exchange Commission today announced non-prosecution agreements (NPAs) with two unrelated companies that will forfeit ill-gotten gains connected[...]
Read ArticleChildhood Friends Charged With Insider Trading in Pharmaceutical Stocks
June 03, 2016The Securities and Exchange Commission today charged two Rhode Island men with insider trading in the securities of deal targets[...]
Read ArticleStephen L. Cohen, Associate Director of Enforcement, to Leave SEC After Nearly 12 Years of Service
June 03, 2016The Securities and Exchange Commission today announced that Stephen L. Cohen, Associate Director of the SEC’s Enforcement Division, is planning[...]
Read ArticleSEC: Forex Trader Misrepresented Track Record and Hid Massive Losses
June 02, 2016The Securities and Exchange Commission today charged a New York City-based trader with defrauding investors out of millions of dollars[...]
Read ArticleSEC Halts EB-5 Scheme Stealing Investments in Cancer Center
June 02, 2016The Securities and Exchange Commission today announced fraud charges and an asset freeze against a husband and wife accused of[...]
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