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.
Whistleblower Earns $3.5 Million Award for Bolstering Ongoing Investigation
May 13, 2016The Securities and Exchange Commission today announced a whistleblower award of more than $3.5 million to a company employee whose[...]
Read ArticleSEC Charges Two Attorneys With Defrauding Escrow Clients
May 13, 2016The Securities and Exchange Commission today announced fraud charges against two attorneys accused of making undisclosed risky investments and in[...]
Read ArticleSEC Charges Father, Son, Others in Tribal Bonds Scheme
May 11, 2016The Securities and Exchange Commission today charged a father and son and five associates with defrauding investors in sham Native[...]
Read ArticleSEC Announces Agenda for May 18 Meeting of the Advisory Committee on Small and Emerging Companies
May 11, 2016The Securities and Exchange Commission today announced that the May 18 meeting of its Advisory Committee on Small and Emerging[...]
Read ArticleSEC: Financial Adviser Defrauded Pro Athletes and Lied to SEC Examiners
May 06, 2016The Securities and Exchange Commission today announced fraud charges against a Pittsburgh, Pa.-based financial adviser accused of taking money without[...]
Read ArticleSEC Charges Unregistered Brokers with Pocketing Investor Money
May 04, 2016The Securities and Exchange Commission today charged two men with pocketing investor money they raised for limited liability companies they[...]
Read ArticleSEC Adopts Amendments to Implement JOBS Act and FAST Act Changes for Exchange Act Registration Requirements
May 03, 2016Washington D.C., May 3, 2016 – The Securities and Exchange Commission has approved amendments to revise the rules related to[...]
Read ArticleSEC and Law Enforcement Partners Crack Stock Promotion and Kickback Schemes
May 03, 2016The Securities and Exchange Commission today announced fraud charges against 10 individuals involved in schemes to trick investors into buying[...]
Read ArticleSilicon Valley Executive Settles Insider Trading Charges
May 02, 2016The Securities and Exchange Commission today announced that a Silicon Valley executive has agreed to pay more than a half-million[...]
Read ArticleSEC: Accounting Firm, Partner Conducted Deficient Surprise Exams
April 29, 2016The Securities and Exchange Commission today announced that an accounting firm and one of its partners who conducted surprise examinations[...]
Read ArticleSEC Seeks Public Comment on Plan to Create A Consolidated Audit Trail
April 27, 2016The Securities and Exchange Commission today voted to publish for public comment a proposed national market system (NMS) plan to[...]
Read ArticleSEC Announces Agenda for April 26 Meeting of the Equity Market Structure Advisory Committee
April 21, 2016The Securities and Exchange Commission today announced the agenda for its Equity Market Structure Advisory Committee meeting on April 26. [...]
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