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: 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[...]
Read ArticleSEC: Adviser Steered Investor Money to His Own Companies
June 02, 2016The Securities and Exchange Commission today charged a North Carolina-based investment adviser with defrauding investors by secretly steering portions of[...]
Read ArticleSEC Names Christopher Hetner as Senior Advisor to the Chair for Cybersecurity Policy
June 02, 2016The Securities and Exchange Commission today announced that Christopher R. Hetner has been named Senior Advisor to the Chair for[...]
Read ArticleBrokerage Firm Charged With Anti-Money Laundering Failures
June 01, 2016The Securities and Exchange Commission today charged a Wall Street-based brokerage firm with failing to sufficiently evaluate or monitor customers’[...]
Read ArticleSEC Adopts Amendment to Form 10-K Implementing FAST Act Provision
June 01, 2016The Securities and Exchange Commission today announced it has approved an interim final rule that allows Form 10-K filers to[...]
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