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 Three RMBS Traders With Defrauding Investors
September 08, 2015The Securities and Exchange Commission today announced fraud charges against three traders accused of repeatedly lying to customers relying on[...]
Read ArticleSEC Charges Bankrate and Former Executives With Accounting Fraud
September 08, 2015The Securities and Exchange Commission today announced that Bankrate Inc. has agreed to pay $15 million to settle accounting fraud[...]
Read ArticleSEC Charges Sports Nutrition Company With Failing to Properly Disclose Perks for Executives
September 08, 2015The Securities and Exchange Commission today charged a sports supplements and nutrition company with committing a series of accounting and[...]
Read ArticleSEC Charges Seattle-Area Hedge Fund Adviser With Taking Unearned Management Fees
September 04, 2015The Securities and Exchange Commission today charged a Bellevue, Wash.-based investment advisory firm and its CEO with fraudulently inflating the[...]
Read ArticleSEC Charges Advisory Firm With Fraud for Improperly Retaining Fees
September 02, 2015The Securities and Exchange Commission today announced that an investment advisory firm in Philadelphia has agreed to pay more than[...]
Read ArticleSEC Halts Ongoing Fraud in Minnesota
September 02, 2015The Securities and Exchange Commission today announced fraud charges and an emergency order to halt a Minnesota resident and his[...]
Read ArticleFee Rate Advisory #1 for Fiscal Year 2016
August 27, 2015The Securities and Exchange Commission announced that in fiscal year 2016 the fees that public companies and other issuers pay[...]
Read ArticleSEC Charges Former Investment Bank Analyst and Two Others With Insider Trading in Advance of Client Deals
August 25, 2015The Securities and Exchange Commission today charged a former investment bank analyst with illegally tipping his close friend with confidential[...]
Read ArticleSEC Announces Asset Freeze Against Alleged EB-5 Fraudster in Seattle Area
August 25, 2015The Securities and Exchange Commission today announced an asset freeze obtained against a man in Bellevue, Wash., accused of defrauding[...]
Read ArticleShelly Luisi Named Associate Director in the Division of Corporation Finance
August 19, 2015The Securities and Exchange Commission today announced that Shelly Luisi has been named as an Associate Director in the Division[...]
Read ArticleSEC Charges Citigroup Global Markets for Compliance and Surveillance Failures
August 19, 2015The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to settle charges that it failed to[...]
Read ArticleSEC Charges BNY Mellon With FCPA Violations
August 18, 2015The Securities and Exchange Commission today announced that BNY Mellon has agreed to pay $14.8 million to settle charges that[...]
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