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.
J.P. Morgan to Pay $267 Million for Disclosure Failures
December 18, 2015The Securities and Exchange Commission today announced that two J.P. Morgan wealth management subsidiaries have agreed to pay $267 million[...]
Read ArticleSEC Charges Martin Shkreli With Fraud
December 17, 2015The Securities and Exchange Commission today charged Martin Shkreli, former CEO of pharmaceutical company Retrophin, with committing fraud during a[...]
Read ArticleSEC: Hedge Fund Adviser Lied to Investors
December 16, 2015The Securities and Exchange Commission today barred a hedge fund adviser from the securities industry for making a series of[...]
Read ArticleSEC Announces Fraud Charges Against Investment Adviser
December 15, 2015The Securities and Exchange Commission today announced fraud charges against a Stamford, Conn.-based investment advisory firm accused of investing clients[...]
Read ArticleSEC Files Charges in Multi-Million Dollar Market Manipulation
December 15, 2015The Securities and Exchange Commission today charged a New Jersey man and his company with illicitly pocketing $13 million from[...]
Read ArticleSEC: Sports Team Offering Is A Penny Stock Fraud
December 11, 2015The Securities and Exchange Commission today announced fraud charges and a court-ordered asset freeze obtained against a Florida-based penny stock[...]
Read ArticleSEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act
December 11, 2015The Securities and Exchange Commission today voted to propose rules that would require resource extraction issuers to disclose payments made[...]
Read ArticleSEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies
December 11, 2015The Securities and Exchange Commission today voted to propose a new rule designed to enhance the regulation of the use[...]
Read ArticleSEC Suspends Public Accountants for Bad Auditing
December 10, 2015The Securities and Exchange Commission today suspended five accountants and two audit firms from practicing or appearing before the SEC[...]
Read ArticleSEC: Lawyers Offered EB-5 Investments as Unregistered Brokers
December 07, 2015The Securities and Exchange Commission today announced a series of enforcement actions against lawyers across the country charged with offering[...]
Read ArticleSEC Announces Charges for Spoofing and Order Mismarking
December 03, 2015The Securities and Exchange Commission today announced fraud charges against three Chicago-based traders accused of circumventing market structure rules in[...]
Read ArticleSEC: Grant Thornton Ignored Red Flags in Audits
December 02, 2015The Securities and Exchange Commission today announced that national audit firm Grant Thornton LLP and two of its partners agreed[...]
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