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: Grant Thornton Ignored Red Flags in Audits
December 02, 2015The Securities and Exchange Commission today announced that national audit firm Grant Thornton LLP and two of its partners agreed[...]
Read ArticleSEC Charges Bitcoin Mining Companies
December 01, 2015The Securities and Exchange Commission today charged two Bitcoin mining companies and their founder with conducting a Ponzi scheme that[...]
Read ArticleSEC, FINRA, MSRB to Hold Compliance Outreach Program for Municipal Advisors
December 01, 2015The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB) today announced the[...]
Read ArticleSEC Names Katherine Martin as Associate Director in the Office of International Affairs
November 30, 2015The Securities and Exchange Commission today announced that Katherine K. Martin has been named Associate Director in its Office of[...]
Read ArticleStandard Bank to Pay $4.2 Million to Settle SEC Charges
November 30, 2015The Securities and Exchange Commission today charged Standard Bank Plc with failing to disclose certain payments in connection with debt[...]
Read ArticleFormer Goldman Employee Charged With Insider Trading Before Mergers
November 25, 2015The Securities and Exchange Commission today announced insider trading charges against a former Goldman Sachs employee accused of stealing nonpublic[...]
Read ArticleSEC Charges Political Intelligence Firm
November 24, 2015The Securities and Exchange Commission today announced that a political intelligence firm agreed to admit wrongdoing and pay a $375,000[...]
Read ArticleSEC: Stockbroker Stole Investor Money for Home Renovations
November 23, 2015The Securities and Exchange Commission today announced fraud charges against a former stockbroker accused of stealing investor money to remodel[...]
Read ArticleAtlanta Businessman Charged in Nursing Home Investment Scheme
November 20, 2015The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze obtained against an Atlanta-based businessman accused[...]
Read ArticleAssets Frozen in Alleged Immigration Scam
November 19, 2015The Securities and Exchange Commission today announced it has obtained a court order freezing the assets of a South Florida[...]
Read ArticleCustody Rule Violators Settle Charges
November 19, 2015The Securities and Exchange Commission today announced that an investment advisory firm, two owners, and a former chief compliance officer[...]
Read ArticleSEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems
November 18, 2015The Securities and Exchange Commission today announced it has voted to propose rules to enhance operational transparency and regulatory oversight[...]
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