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 Bars Brokers Who Played Favorites to Double Their Commissions

October 28, 2015

The Securities and Exchange Commission today barred two brokers at a now-defunct Connecticut brokerage for giving customer order information to[...]

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Developer, Former Top Execs Charged for Improper Accounting of Real Estate Assets During Financial Crisis

October 27, 2015

The Securities and Exchange Commission today charged The St. Joe Company, a Watersound, Florida-based real estate developer and landowner, its[...]

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SEC Charges Credit Rating Agency With Misrepresenting Surveillance Methodology

October 26, 2015

The Securities and Exchange Commission today charged credit rating agency DBRS Inc. with misrepresenting its surveillance methodology for ratings of[...]

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SEC Announces Enforcement Results For FY 2015

October 22, 2015

The Securities and Exchange Commission today announced that in fiscal year 2015, it continued to build a strong record of[...]

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SEC to Hold Annual Government-Business Forum on Small Business Capital Formation on November 19

October 21, 2015

The Securities and Exchange Commission today announced that it will hold its annual Government-Business Forum on Small Business Capital Formation[...]

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Wenchi Hu, Christian Sabella Named Associate Directors in the Division of Trading and Markets

October 20, 2015

The Securities and Exchange Commission today announced that it has named Wenchi Hu and Christian Sabella as Associate Directors in[...]

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Former Head of Coastal Investment Advisors Settles Charges, Admits He Stole Money From Investors

October 19, 2015

The Securities and Exchange Commission today announced that Michael Donnelly, the former president of Wilmington, Del.-based Coastal Investment Advisors Inc.[...]

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Two UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment Strategy

October 19, 2015

The Securities and Exchange Commission today announced that two UBS advisory firms have agreed to settle charges arising from their[...]

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SEC Staff Publishes Private Funds Statistics Report

October 16, 2015

The Securities and Exchange Commission staff today published a report that provides private fund industry statistics and trends, reflecting aggregated[...]

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SEC Charges 6 Firms for Short Selling Violations in Advance Stock Offerings

October 14, 2015

The Securities and Exchange Commission today announced enforcement actions against six firms, including more than $2.5 million in monetary sanctions[...]

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UBS to Pay $19.5 Million Settlement Involving Notes Linked to Currency Index

October 13, 2015

The Securities and Exchange Commission today announced that UBS AG has agreed to pay $19.5 million to settle charges that[...]

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Wolverine Affiliates Charged With Failing to Maintain Policies to Prevent Misuse of Material Nonpublic Information

October 08, 2015

The Securities and Exchange Commission today charged Wolverine Trading LLC and Wolverine Asset Management LLC with failing to maintain and[...]

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