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 Charges Home Loan Servicing Solutions for Misstatements and Inadequate Internal Controls

October 05, 2015

The Securities and Exchange Commission today charged Home Loan Servicing Solutions Ltd. (HLSS) for making material misstatements about its handling[...]

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SEC Charges Bristol-Myers Squibb With FCPA Violations

October 05, 2015

The Securities and Exchange Commission today announced that New York-based pharmaceutical company Bristol-Myers Squibb has agreed to settle charges that[...]

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Chyhe Becker Named as Associate Director in the Division of Economic and Risk Analysis

October 02, 2015

The Securities and Exchange Commission today announced that Chyhe Becker has been named as an Associate Director in the Division[...]

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SEC Halts $32 Million Scheme That Promised Riches From Amber Mining

October 01, 2015

The Securities and Exchange Commission today announced it has filed fraud charges and obtained asset freezes against the operator of[...]

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SEC Charges New Jersey Fund Manager With Securities Fraud

October 01, 2015

The Securities and Exchange Commission today charged a New Jersey fund manager and his firm with defrauding investors by lying[...]

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SEC Charges Two Grant Thornton Firms With Violating Auditor Independence Rules

October 01, 2015

The Securities and Exchange Commission today charged Grant Thornton India LLP and Australia-based Grant Thornton Audit Pty Limited with auditor[...]

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SEC Charges Executives for Defrauding Investors in Financial Fraud Scheme

September 30, 2015

The Securities and Exchange Commission today charged two former executives of ContinuityX Solutions Inc. with fabricating nearly all of the[...]

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Fee Rate Advisory #2 for Fiscal Year 2016

September 30, 2015

When fiscal year 2016 starts on October 1, 2015, the Securities and Exchange Commission does not expect to have received[...]

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Latour Trading Charged With Market Structure Rule Violations

September 30, 2015

The Securities and Exchange Commission today charged Latour Trading LLC with violating SEC rules designed to ensure safe and efficient[...]

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SEC Sanctions 22 Underwriting Firms for Fraudulent Municipal Bond Offerings

September 30, 2015

The Securities and Exchange Commission today announced enforcement actions against 22 municipal underwriting firms for violations in municipal bond offerings. [...]

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SEC Names William Royer to Lead Exam Program in Atlanta Office

September 29, 2015

The Securities and Exchange Commission today announced that William Royer has been named the new head of the examination program[...]

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SEC Charges Investment Adviser With Fraud

September 29, 2015

The Securities and Exchange Commission today announced fraud charges against a registered investment adviser and its owner for allegedly engaging[...]

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