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 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[...]
Read ArticleMarshall Sprung, Co-Chief of Asset Management Unit, to Leave SEC After 13 Years of Service
April 11, 2016The Securities and Exchange Commission today announced that Marshall S. Sprung, co-chief of the Division of Enforcement’s Asset Management Unit,[...]
Read ArticleSEC: Company Misled Investors About Energy-Efficient Technology
April 11, 2016The Securities and Exchange Commission today announced fraud charges against a Texas-based technology company and its founder accused of boosting[...]
Read ArticleLas Vegas Sands Paying Penalty for FCPA Violations
April 07, 2016The Securities and Exchange Commission today announced that Las Vegas Sands Corp. has agreed to pay a $9 million penalty[...]
Read ArticleSEC Charges Four in Fraudulent “Free Dinner” Scheme
April 04, 2016The Securities and Exchange Commission today announced that it has charged four individuals in a fraud whose victims included seniors[...]
Read ArticleSEC: Navistar International and Former CEO Misled Investors About Advanced Technology Engine
March 31, 2016The Securities and Exchange Commission today charged Navistar International Corp. with misleading investors about its development of an advanced technology[...]
Read ArticleSEC: Biotech Venture Capitalist Stole Investor Funds for Personal Use
March 30, 2016The Securities and Exchange Commission today announced that a San Francisco-based biotech venture capitalist has agreed to settle charges that[...]
Read ArticleFormer TV Commentator Settles Penny Stock Fraud Charges
March 29, 2016The Securities and Exchange Commission today announced that a former market analyst and TV news commentator has agreed to settle[...]
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