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.
Anthony 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[...]
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[...]
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