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 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.[...]
Read ArticleTwo UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment Strategy
October 19, 2015The Securities and Exchange Commission today announced that two UBS advisory firms have agreed to settle charges arising from their[...]
Read ArticleSEC Staff Publishes Private Funds Statistics Report
October 16, 2015The Securities and Exchange Commission staff today published a report that provides private fund industry statistics and trends, reflecting aggregated[...]
Read ArticleSEC Charges 6 Firms for Short Selling Violations in Advance Stock Offerings
October 14, 2015The Securities and Exchange Commission today announced enforcement actions against six firms, including more than $2.5 million in monetary sanctions[...]
Read ArticleUBS to Pay $19.5 Million Settlement Involving Notes Linked to Currency Index
October 13, 2015The Securities and Exchange Commission today announced that UBS AG has agreed to pay $19.5 million to settle charges that[...]
Read ArticleWolverine Affiliates Charged With Failing to Maintain Policies to Prevent Misuse of Material Nonpublic Information
October 08, 2015The Securities and Exchange Commission today charged Wolverine Trading LLC and Wolverine Asset Management LLC with failing to maintain and[...]
Read ArticleSEC 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 Article