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.
Brokerage 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[...]
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[...]
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