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.
Custody 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[...]
Read ArticleSEC Announces Agenda and Panelists for Small Business Forum
November 17, 2015The Securities and Exchange Commission today announced the agenda and panelists for this Thursday’s Government-Business Forum on Small Business Capital[...]
Read ArticleSEC Charges Pump-and-Dump in Marley Coffee Stock
November 17, 2015The Securities and Exchange Commission today announced fraud charges against several alleged perpetrators behind a $78 million pump-and-dump scheme involving[...]
Read ArticleMutual Fund Adviser Advertised False Performance Claims
November 16, 2015The Securities and Exchange Commission today announced that a Hartford, Conn.-based investment management firm agreed to pay $16.5 million to[...]
Read ArticleSanket Bulsara Named Deputy General Counsel for Appellate Litigation and Adjudication
November 13, 2015The Securities and Exchange Commission today announced that it has named Sanket J. Bulsara as the Deputy General Counsel for[...]
Read ArticleMarc Wyatt Named Director of the Office of Compliance Inspections and Examinations
November 12, 2015The Securities and Exchange Commission today announced that it has named Marc Wyatt as Director of the agency’s Office of[...]
Read ArticleOlivier Girod Named SEC Deputy Director of Office of Support Operations
November 12, 2015The Securities and Exchange Commission today announced Olivier Girod has been named Deputy Director of the Office of Support Operations[...]
Read ArticleSEC Charges: False Tweets Sent Two Stocks Reeling in Market Manipulation
November 05, 2015The Securities and Exchange Commission today filed securities fraud charges against a Scottish trader whose false tweets caused sharp drops[...]
Read ArticleBryan Bennett Named to Head Exam Program in Los Angeles Office
November 05, 2015The Securities and Exchange Commission today announced that it has named Bryan Bennett to lead the examination program in its[...]
Read ArticleSEC Announces Whistleblower Award of More Than $325,000
November 04, 2015The Securities and Exchange Commission today announced a whistleblower award totaling more than $325,000 for a former investment firm employee[...]
Read ArticleSEC Identifies More Alleged Corrupt Brokers in Stock Manipulation Case
November 04, 2015The Securities and Exchange Commission today announced it has identified three additional individuals to charge in a penny stock manipulation[...]
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