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 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[...]
Read ArticleSEC Announces Insider Trading Charges in Case Involving Sports Gambler and Board Member
May 19, 2016The Securities and Exchange Commission today announced insider trading charges against a professional sports gambler who allegedly made $40 million[...]
Read ArticleSEC Awards More Than $5 Million to Whistleblower
May 17, 2016The Securities and Exchange Commission today announced that it will award between $5 million and $6 million to a former[...]
Read ArticleStatement on Trade Reporting in the U.S. Treasury Market
May 16, 2016The U.S. Department of the Treasury and the Securities and Exchange Commission today announced that they are working together to explore efficient[...]
Read ArticleAgencies Invite Comment on Proposed Rule to Prohibit Incentive-Based Pay that Encourages Inappropriate Risk-Taking in Financial Institutions
May 16, 2016Six federal agencies are inviting public comment on a proposed rule to prohibit incentive-based compensation arrangements that encourage inappropriate risks[...]
Read ArticleWhistleblower 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[...]
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