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.
Money Returning to Investors Harmed by Unregistered Broker
March 09, 2016The Securities and Exchange Commission today announced that a Cyprus-based company has agreed to pay $11 million to settle charges[...]
Read ArticleSEC Awarding Nearly $2 Million to Three Whistleblowers
March 08, 2016The Securities and Exchange Commission today announced the payment of almost $2 million to three whistleblowers. The largest of the[...]
Read ArticleSEC Announces Charges Against Unregistered Fund Manager Accused of Hiding Criminal Past
March 08, 2016The Securities and Exchange Commission today announced fraud charges against an unregistered fund manager accused of hiding his checkered past[...]
Read ArticleRobert M. Fisher Named Managing Executive of the Office of Compliance Inspections and Examinations
March 08, 2016The Securities and Exchange Commission today announced that Robert M. Fisher has been named Managing Executive of the Office of[...]
Read ArticleSEC Announces Creation of Office of Risk and Strategy for its National Exam Program
March 08, 2016The Securities and Exchange Commission today announced the creation of the Office of Risk and Strategy within its Office of[...]
Read ArticleSEC Charges Rhode Island Agency and Wells Fargo With Fraud in 38 Studios Bond Offering
March 07, 2016The Securities and Exchange Commission today charged a Rhode Island agency and its bond underwriter Wells Fargo Securities with defrauding[...]
Read ArticleSEC: Qualcomm Hired Relatives of Chinese Officials to Obtain Business
March 01, 2016The Securities and Exchange Commission today announced that Qualcomm Incorporated has agreed to pay $7.5 million to settle charges that[...]
Read ArticleFee Rate Advisory #4 for Fiscal Year 2016
February 25, 2016Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to[...]
Read ArticleVimpelCom to Pay $795 Million in Global Settlement for FCPA Violations
February 18, 2016The Securities and Exchange Commission today announced a global settlement along with the U.S. Department of Justice and Dutch regulators[...]
Read ArticleDaniel Kahl Named as Chief Counsel of National Exam Program
February 17, 2016The Securities and Exchange Commission today announced that Daniel S. Kahl has been named Chief Counsel of its Office of[...]
Read ArticleSEC Charges Biopesticide Company and Former Executive With Accounting Fraud
February 17, 2016The Securities and Exchange Commission today charged biopesticide company Marrone Bio Innovations and a former executive with inflating financial results[...]
Read ArticleSEC Announces Agenda for February 25 Meeting of the Advisory Committee on Small and Emerging Companies
February 17, 2016The Securities and Exchange Commission today announced that the next meeting of its Advisory Committee on Small and Emerging Companies[...]
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