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 Rules Implementing FAST Act Provisions
January 13, 2016The Securities and Exchange Commission today announced that it approved interim final rules implementing two provisions of the Fixing America’s[...]
Read ArticleJulie M. Riewe, Co-Chief of Asset Management Unit, to Leave SEC After 10 Years of Service
January 11, 2016The Securities and Exchange Commission today announced that Julie M. Riewe, Co-Chief of the Enforcement Division’s Asset Management Unit, is[...]
Read ArticleSEC Announces 2016 Examination Priorities
January 11, 2016The Securities and Exchange Commission today announced its Office of Compliance Inspections and Examinations’ (OCIE) 2016 priorities. New areas of[...]
Read ArticleSteven A. Cohen Barred From Supervisory Hedge Fund Role
January 08, 2016The Securities and Exchange Commission today announced that hedge fund manager Steven A. Cohen will be prohibited from supervising funds[...]
Read ArticleFee Rate Advisory #3 for Fiscal Year 2016
January 07, 2016The Securities and Exchange Commission today announced that starting on Feb. 16, 2016, the fee rates applicable to most securities[...]
Read ArticleSEC: J.P. Morgan Misled Customers on Broker Compensation
January 06, 2016The Securities and Exchange Commission today announced that J.P. Morgan’s brokerage business agreed to pay $4 million to settle charges[...]
Read ArticleTraders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case
December 28, 2015The Securities and Exchange Commission today announced that two traders in China and Hong Kong have agreed to pay more[...]
Read ArticleSEC Issues Annual Staff Reports on Credit Rating Agencies
December 28, 2015The Securities and Exchange Commission today issued its two annual staff reports on credit rating agencies registered as nationally recognized[...]
Read ArticleSEC Seeks Public Comment on Transfer Agent Rules
December 22, 2015The Securities and Exchange Commission today voted to issue an advanced notice of proposed rulemaking (ANPR) for new requirements for[...]
Read ArticleMorgan Stanley Settles Charges in “Parking” Scheme
December 22, 2015The Securities and Exchange Commission today announced that Morgan Stanley Investment Management has agreed to pay $8.8 million to settle[...]
Read ArticleSEC Charges Financial Advisor in Market Manipulation Case
December 21, 2015The Securities and Exchange Commission today announced additional fraud charges in a market manipulation case the agency filed last week.[...]
Read ArticleConvicted Fraudster Using Aliases Charged Again for Defrauding Investors
December 18, 2015The Securities and Exchange Commission today charged a known securities fraudster with conducting a new scheme since his release from[...]
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