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.
Bryan 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[...]
Read ArticleSEC Charges Private Equity Firm and Four Executives With Failing to Disclose Conflicts of Interest
November 03, 2015The Securities and Exchange Commission today announced that a New York-based private equity firm and four executives have agreed to[...]
Read ArticleSEC Adopts Rules to Permit Crowdfunding
October 30, 2015The Securities and Exchange Commission today adopted final rules to permit companies to offer and sell securities through crowdfunding. The[...]
Read ArticleSEC Bars Brokers Who Played Favorites to Double Their Commissions
October 28, 2015The Securities and Exchange Commission today barred two brokers at a now-defunct Connecticut brokerage for giving customer order information to[...]
Read ArticleDeveloper, Former Top Execs Charged for Improper Accounting of Real Estate Assets During Financial Crisis
October 27, 2015The Securities and Exchange Commission today charged The St. Joe Company, a Watersound, Florida-based real estate developer and landowner, its[...]
Read ArticleSEC Charges Credit Rating Agency With Misrepresenting Surveillance Methodology
October 26, 2015The Securities and Exchange Commission today charged credit rating agency DBRS Inc. with misrepresenting its surveillance methodology for ratings of[...]
Read ArticleSEC Announces Enforcement Results For FY 2015
October 22, 2015The Securities and Exchange Commission today announced that in fiscal year 2015, it continued to build a strong record of[...]
Read ArticleSEC to Hold Annual Government-Business Forum on Small Business Capital Formation on November 19
October 21, 2015The Securities and Exchange Commission today announced that it will hold its annual Government-Business Forum on Small Business Capital Formation[...]
Read ArticleWenchi Hu, Christian Sabella Named Associate Directors in the Division of Trading and Markets
October 20, 2015The Securities and Exchange Commission today announced that it has named Wenchi Hu and Christian Sabella as Associate Directors in[...]
Read ArticleFormer Head of Coastal Investment Advisors Settles Charges, Admits He Stole Money From Investors
October 19, 2015The Securities and Exchange Commission today announced that Michael Donnelly, the former president of Wilmington, Del.-based Coastal Investment Advisors Inc.[...]
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