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: Hedge Fund Adviser Lied to Investors
December 16, 2015The Securities and Exchange Commission today barred a hedge fund adviser from the securities industry for making a series of[...]
Read ArticleSEC Announces Fraud Charges Against Investment Adviser
December 15, 2015The Securities and Exchange Commission today announced fraud charges against a Stamford, Conn.-based investment advisory firm accused of investing clients[...]
Read ArticleSEC Files Charges in Multi-Million Dollar Market Manipulation
December 15, 2015The Securities and Exchange Commission today charged a New Jersey man and his company with illicitly pocketing $13 million from[...]
Read ArticleSEC: Sports Team Offering Is A Penny Stock Fraud
December 11, 2015The Securities and Exchange Commission today announced fraud charges and a court-ordered asset freeze obtained against a Florida-based penny stock[...]
Read ArticleSEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act
December 11, 2015The Securities and Exchange Commission today voted to propose rules that would require resource extraction issuers to disclose payments made[...]
Read ArticleSEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies
December 11, 2015The Securities and Exchange Commission today voted to propose a new rule designed to enhance the regulation of the use[...]
Read ArticleSEC Suspends Public Accountants for Bad Auditing
December 10, 2015The Securities and Exchange Commission today suspended five accountants and two audit firms from practicing or appearing before the SEC[...]
Read ArticleSEC: Lawyers Offered EB-5 Investments as Unregistered Brokers
December 07, 2015The Securities and Exchange Commission today announced a series of enforcement actions against lawyers across the country charged with offering[...]
Read ArticleSEC Announces Charges for Spoofing and Order Mismarking
December 03, 2015The Securities and Exchange Commission today announced fraud charges against three Chicago-based traders accused of circumventing market structure rules in[...]
Read ArticleSEC: 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[...]
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