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: Miami Firm Broke Anti-Money Laundering Protocols
February 04, 2016The Securities and Exchange Commission today announced that a Miami-based brokerage firm agreed to pay a $1 million penalty to[...]
Read ArticleSEC Announces Advisory Committee on Small and Emerging Companies Members
February 04, 2016The Securities and Exchange Commission today announced the members of its Advisory Committee on Small and Emerging Companies. The advisory[...]
Read ArticleSEC Charges Lending Company and Brokerage Firm With Fraud
February 03, 2016The Securities and Exchange Commission today announced fraud charges against a Manhattan-based lending company and its owner accused of repeatedly[...]
Read ArticleSEC Names Jane Jarcho as Deputy Director of National Exam Program
February 03, 2016The Securities and Exchange Commission today announced that Jane Jarcho has been named Deputy Director of the agency’s Office of[...]
Read ArticleSEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers
February 02, 2016The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their[...]
Read ArticleSEC Completes Muni-Underwriter Enforcement Sweep
February 02, 2016The Securities and Exchange Commission today announced enforcement actions against 14 municipal underwriting firms for violations in municipal bond offerings. [...]
Read ArticleSEC Charges Software Company With FCPA Violations
February 01, 2016The Securities and Exchange Commission today announced that software manufacturer SAP SE has agreed to give up $3.7 million in[...]
Read ArticleBarclays, Credit Suisse Charged With Dark Pool Violations
January 31, 2016The Securities and Exchange Commission today announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC have agreed to[...]
Read ArticleSEC Announces Agenda for February 2 Meeting of the Equity Market Structure Advisory Committee
January 29, 2016The Securities and Exchange Commission will hold the third meeting of the Equity Market Structure Advisory Committee on February 2,[...]
Read ArticleHedge Fund Manager Agrees to Reimburse Investor Losses
January 28, 2016The Securities and Exchange Commission today announced that a Manhattan-based investment advisory firm and its Toronto-based hedge fund manager have[...]
Read ArticleOcwen Paying Penalty for Misstated Financial Results
January 20, 2016The Securities and Exchange Commission today announced that Ocwen Financial Corp. has agreed to settle charges that it misstated financial[...]
Read ArticleSusan Nash, Associate Director in Division of Investment Management, to Leave SEC After 26 Years of Service
January 20, 2016The Securities and Exchange Commission today announced that Susan Nash, Associate Director in the Division of Investment Management, will leave[...]
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