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 Approves 2016 PCAOB Budget and Accounting Support Fee
March 14, 2016The Securities and Exchange Commission today approved the 2016 budget of the Public Company Accounting Oversight Board (PCAOB) and the[...]
Read ArticleSEC: California Businessman Attempted Cover Up of Stolen Investor Funds
March 11, 2016The Securities and Exchange Commission today announced fraud charges against a California businessman accused of stealing investor assets and then[...]
Read ArticleSEC Charges Oregon-Based Investment Group and Executives With Defrauding Investors
March 11, 2016The Securities and Exchange Commission today charged an Oregon-based investment group and three top executives with hiding the rapidly deteriorating[...]
Read ArticleSEC Charges Company and Executives for Faulty Evaluations of Internal Controls
March 10, 2016The Securities and Exchange Commission has settled charges against Texas-based oil company Magnum Hunter Resources Corporation and several individuals, including[...]
Read ArticleAnthony Kelly Named Co-Chief of Asset Management Unit
March 10, 2016The Securities and Exchange Commission today announced that Anthony S. Kelly has been named Co-Chief of the Enforcement Division’s Asset[...]
Read ArticleSEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
March 09, 2016The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment[...]
Read ArticleSEC: Tech Company Misled Investors About Key Product
March 09, 2016The Securities and Exchange Commission today announced that a developer of technologies for touchscreen devices has agreed to pay $750,000[...]
Read ArticleInsider Traders Returning Illegal Profits and Kickbacks
March 09, 2016The Securities and Exchange Commission today announced that a Florida man trading on inside information ahead of a pharmaceutical company[...]
Read ArticleCalifornia Water District to Pay Penalty for Misleading Investors
March 09, 2016The Securities and Exchange Commission today charged California’s largest agricultural water district with misleading investors about its financial condition as[...]
Read ArticleMoney 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[...]
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