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: 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. [...]
Read ArticleSEC Issues Order Modifying and Extending the Pilot Period for the National Market System Plan to Address Extraordinary Market Volatility
April 21, 2016The Securities and Exchange Commission today issued an order to extend for one year the pilot period of the National[...]
Read ArticleSEC Announces Financial Fraud Cases
April 19, 2016The Securities and Exchange Commission today announced a pair of financial fraud cases against companies and then-executives accused of various[...]
Read ArticleSEC Offers Online Tool to Help Companies Estimate Registration Fees
April 18, 2016The Securities and Exchange Commission today announced the release of an online tool to help companies calculate registration fees for[...]
Read ArticleSEC Charges Litigation Marketing Company With Bilking Retirees
April 15, 2016The Securities and Exchange Commission today charged a Los Angeles-based litigation marketing company and its co-founders with defrauding retirees and[...]
Read ArticleSEC Adopts Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
April 15, 2016The Securities and Exchange Commission voted on April 13 to adopt final rules implementing a comprehensive set of business conduct[...]
Read ArticleSEC Solicits Public Comment on Business and Financial Disclosure Requirements in Regulation S-K
April 15, 2016The Securities and Exchange Commission voted on April 13 to publish a concept release discussing and seeking public comment on[...]
Read ArticleSEC Case Freezes Assets of Ski Resort Steeped in Fraudulent EB-5 Offerings
April 14, 2016The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Vermont-based ski resort and related[...]
Read ArticleSEC: Town Officials in New York Hid Financial Troubles From Bond Investors
April 14, 2016The Securities and Exchange Commission today announced fraud charges against Ramapo, N.Y., its local development corporation, and four town officials[...]
Read ArticleSEC: Research Analyst Is Insider Trading in Mother’s Brokerage Account
April 14, 2016The Securities and Exchange Commission today announced insider trading charges against a research analyst who allegedly reaped more than $1.5[...]
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