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 Firm and Owner With Manipulative Trading
October 08, 2015The Securities and Exchange Commission today charged a New York-based proprietary trading firm and one of its co-founders with engaging[...]
Read ArticleBlackstone Charged With Disclosure Failures
October 07, 2015The Securities and Exchange Commission today announced that three private equity fund advisers within The Blackstone Group have agreed to[...]
Read ArticleSEC Charges Former Executives With Accounting Fraud and Other Accounting Failures
October 06, 2015The Securities and Exchange Commission today charged two former top executives at OCZ Technology Group Inc. for accounting failures at[...]
Read ArticleMichael Liftik Named SEC Deputy Chief of Staff
October 05, 2015The Securities and Exchange Commission today announced that Michael Liftik will become a deputy chief of staff of the agency.[...]
Read ArticleSEC Deputy Chief of Staff Erica Williams to Leave Agency
October 05, 2015The Securities and Exchange Commission today announced that Erica Williams will be leaving the SEC after serving as deputy chief[...]
Read ArticleSEC Charges Florida Investment Adviser and His Company With Defrauding Investors
October 05, 2015The Securities and Exchange Commission today announced fraud charges against Florida-based investment adviser Arthur F. Jacob and his company, Innovative[...]
Read ArticleSEC Charges Home Loan Servicing Solutions for Misstatements and Inadequate Internal Controls
October 05, 2015The Securities and Exchange Commission today charged Home Loan Servicing Solutions Ltd. (HLSS) for making material misstatements about its handling[...]
Read ArticleSEC Charges Bristol-Myers Squibb With FCPA Violations
October 05, 2015The Securities and Exchange Commission today announced that New York-based pharmaceutical company Bristol-Myers Squibb has agreed to settle charges that[...]
Read ArticleChyhe Becker Named as Associate Director in the Division of Economic and Risk Analysis
October 02, 2015The Securities and Exchange Commission today announced that Chyhe Becker has been named as an Associate Director in the Division[...]
Read ArticleSEC Halts $32 Million Scheme That Promised Riches From Amber Mining
October 01, 2015The Securities and Exchange Commission today announced it has filed fraud charges and obtained asset freezes against the operator of[...]
Read ArticleSEC Charges New Jersey Fund Manager With Securities Fraud
October 01, 2015The Securities and Exchange Commission today charged a New Jersey fund manager and his firm with defrauding investors by lying[...]
Read ArticleSEC Charges Two Grant Thornton Firms With Violating Auditor Independence Rules
October 01, 2015The Securities and Exchange Commission today charged Grant Thornton India LLP and Australia-based Grant Thornton Audit Pty Limited with auditor[...]
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