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: Alternative Fund Manager Overcharged Fees, Misled Investors
January 19, 2016The Securities and Exchange Commission today announced that a Denver-based alternative fund manager has agreed to settle charges that the[...]
Read ArticleSEC Awards Whistleblower More Than $700,000 for Detailed Analysis
January 15, 2016The Securities and Exchange Commission today announced a whistleblower award of more than $700,000 to a company outsider who conducted[...]
Read ArticleSEC Charges Goldman Sachs With Improper Securities Lending Practices
January 14, 2016The Securities and Exchange Commission today announced that Goldman, Sachs & Co. has agreed to pay $15 million to settle[...]
Read ArticleSEC Charges State Street for Pay-to-Play Scheme
January 14, 2016The Securities and Exchange Commission today announced that State Street Bank and Trust Company agreed to pay $12 million to[...]
Read ArticleSEC Charges 11 Bank Officers and Directors With Fraud
January 13, 2016The Securities and Exchange Commission today announced fraud charges against 11 former executives and board members at Superior Bank and[...]
Read ArticleSEC 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[...]
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