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, 2015

The Securities and Exchange Commission today announced fraud charges against three traders accused of repeatedly lying to customers relying on[...]

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SEC Charges Bankrate and Former Executives With Accounting Fraud

September 08, 2015

The Securities and Exchange Commission today announced that Bankrate Inc. has agreed to pay $15 million to settle accounting fraud[...]

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SEC Charges Sports Nutrition Company With Failing to Properly Disclose Perks for Executives

September 08, 2015

The Securities and Exchange Commission today charged a sports supplements and nutrition company with committing a series of accounting and[...]

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SEC Charges Seattle-Area Hedge Fund Adviser With Taking Unearned Management Fees

September 04, 2015

The Securities and Exchange Commission today charged a Bellevue, Wash.-based investment advisory firm and its CEO with fraudulently inflating the[...]

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SEC Charges Advisory Firm With Fraud for Improperly Retaining Fees

September 02, 2015

The Securities and Exchange Commission today announced that an investment advisory firm in Philadelphia has agreed to pay more than[...]

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SEC Halts Ongoing Fraud in Minnesota

September 02, 2015

The Securities and Exchange Commission today announced fraud charges and an emergency order to halt a Minnesota resident and his[...]

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Fee Rate Advisory #1 for Fiscal Year 2016

August 27, 2015

The Securities and Exchange Commission announced that in fiscal year 2016 the fees that public companies and other issuers pay[...]

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SEC Charges Former Investment Bank Analyst and Two Others With Insider Trading in Advance of Client Deals

August 25, 2015

The Securities and Exchange Commission today charged a former investment bank analyst with illegally tipping his close friend with confidential[...]

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SEC Announces Asset Freeze Against Alleged EB-5 Fraudster in Seattle Area

August 25, 2015

The Securities and Exchange Commission today announced an asset freeze obtained against a man in Bellevue, Wash., accused of defrauding[...]

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Shelly Luisi Named Associate Director in the Division of Corporation Finance

August 19, 2015

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

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SEC Charges Citigroup Global Markets for Compliance and Surveillance Failures

August 19, 2015

The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to settle charges that it failed to[...]

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SEC Charges BNY Mellon With FCPA Violations

August 18, 2015

The Securities and Exchange Commission today announced that BNY Mellon has agreed to pay $14.8 million to settle charges that[...]

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