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: 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[...]
Read ArticleSEC: Private Equity Fund Adviser Acted As Unregistered Broker
June 01, 2016The Securities and Exchange Commission today announced that a Maryland-based private equity fund advisory firm and its owner have agreed[...]
Read ArticleSEC Halts Ponzi Scheme Aimed at Middle Class
May 31, 2016The Securities and Exchange Commission has charged two California men and their investment firm with operating a Ponzi scheme as[...]
Read ArticleSEC: Nashville Firm Schemed to Collect Extra Fees From Hedge Funds
May 31, 2016The Securities and Exchange Commission today charged a Nashville, Tenn.-based investment advisory firm and its owner with scheming to collect[...]
Read ArticleMortgage Company and Executives Settle Fraud Charges
May 31, 2016The Securities and Exchange Commission today announced that a California-based mortgage company and six senior executives agreed to pay $12.7[...]
Read ArticleInvestment Banker and Plumber Charged With Insider Trading
May 31, 2016The Securities and Exchange Commission today announced insider trading charges against an investment banker and his close friend, a plumber[...]
Read ArticleSEC Prevents Trader’s Profits From False Filing
May 24, 2016The Securities and Exchange Commission has obtained a court order to freeze the profits of a trader who allegedly manipulated[...]
Read ArticleTwo Individuals Share Whistleblower Award of More Than $450,000
May 20, 2016The Securities and Exchange Commission today announced it will jointly award more than $450,000 to two individuals for a tip[...]
Read ArticleMayor in Illinois Settles Muni Bond Fraud Charges
May 19, 2016The Securities and Exchange Commission today announced that the mayor of Harvey, Ill., has agreed to pay $10,000 and never[...]
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