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 Two Philadelphia Area Men For Defrauding Friends And Family In Private Equity Fund
September 23, 2015The Securities and Exchange Commission today announced settled charges with two Philadelphia-area men and their investment advisory firm who allegedly[...]
Read ArticleLara Shalov Mehraban Named Associate Director for Enforcement in SEC’s New York Regional Office
September 22, 2015The Securities and Exchange Commission today announced that Lara Shalov Mehraban has been named Associate Regional Director for Enforcement in[...]
Read ArticleSEC Charges Investment Adviser With Failing to Adopt Proper Cybersecurity Policies and Procedures Prior To Breach
September 22, 2015The Securities and Exchange Commission today announced that a St. Louis-based investment adviser has agreed to settle charges that it[...]
Read ArticleSEC Proposes Liquidity Management Rules For Mutual Funds And ETFs
September 22, 2015The Securities and Exchange Commission today voted to propose a comprehensive package of rule reforms designed to enhance effective liquidity[...]
Read ArticleSEC Charges Retailer for Improper Valuation and Inadequate Internal Accounting Controls
September 22, 2015The Securities and Exchange Commission today charged Stein Mart Inc. for materially misstating its pre-tax income due to improper valuation[...]
Read ArticleSEC Charges Two Men in Stock Manipulation Scheme
September 21, 2015The Securities and Exchange Commission today charged two men behind a scheme that defrauded investors in YaFarm Technologies Inc., a[...]
Read ArticleSEC Charges Investment Adviser With Improperly Using Mutual Fund Assets to Pay Distribution Fees
September 21, 2015The Securities and Exchange Commission today charged a New York-based investment adviser and its affiliated distributor with improperly using mutual[...]
Read ArticleSEC Announces Agenda for September 23 Meeting of the Advisory Committee on Small and Emerging Companies
September 18, 2015The Securities and Exchange Commission today announced that the next meeting of its Advisory Committee on Small and Emerging Companies[...]
Read ArticleAttorney and Auditors Settle Charges in Microcap Scheme Involving Purported Mining Companies
September 18, 2015The Securities and Exchange Commission today announced that an attorney, two audit firms, and seven audit professionals have agreed to[...]
Read ArticleSEC CHARGES FLORIDA-BASED CPA WITH FRAUD FOR ISSUING BOGUS AUDIT OPINIONS
September 17, 2015The Securities and Exchange Commission today imposed sanctions against a Florida-based certified public accountant for performing deficient and fraudulent audits[...]
Read ArticleSEC Charges Clearing Firm Officials for Improper Margin Loans, Accounting and Disclosure Failures
September 17, 2015The Securities and Exchange Commission today announced charges against four former clearing firm officials for their roles in a series[...]
Read ArticleSEC Removes References to Credit Ratings in Money Market Fund Rule and Form
September 16, 2015The Securities and Exchange Commission adopted amendments to remove credit rating references in the principal rule that governs money market[...]
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