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.
Fee 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[...]
Read ArticleSEC: Deutsche Bank Analyst Issued Stock Rating Inconsistent With Personal View
February 17, 2016The Securities and Exchange Commission today charged a former Deutsche Bank research analyst with certifying a rating on a stock[...]
Read ArticleSEC: Tech Company Bribed Chinese Officials
February 16, 2016The Securities and Exchange Commission today announced that a Massachusetts-based technology company and its Chinese subsidiaries agreed to pay more[...]
Read ArticleSEC: California Man Sold Investors Phony Stock to Pay Gambling Debts
February 11, 2016The Securities and Exchange Commission today charged an unregistered broker in Oceanside, Calif., with fraudulently selling purported stock in a[...]
Read ArticleSEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.
February 10, 2016The Securities and Exchange Commission today voted to adopt rules that require a non-U.S. company that uses personnel located in[...]
Read ArticleSEC Names C. Dabney O’Riordan and Alka Patel as Associate Regional Directors in Los Angeles Office
February 09, 2016The Securities and Exchange Commission today announced that C. Dabney O’Riordan and Alka Patel have been named Associate Directors for[...]
Read ArticleMonsanto Paying $80 Million Penalty for Accounting Violations
February 09, 2016The Securities and Exchange Commission today announced that St. Louis-based agribusiness Monsanto Company agreed to pay an $80 million penalty[...]
Read ArticleSEC Charges Company Executive With Insider Trading
February 05, 2016The Securities and Exchange Commission today charged an executive at Stamford, Conn.-based electronics company Harman International Industries with insider trading[...]
Read Article