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 Deutsche Bank With Misstating Financial Reports During Financial Crisis

May 26, 2015

The Securities and Exchange Commission today charged Deutsche Bank AG with filing misstated financial reports during the height of the[...]

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SEC Announces Charges Against Investment Firm and Two Executives Accused of Defrauding Police and Firefighter Pension Funds

May 21, 2015

The Securities and Exchange Commission today announced fraud charges against an Atlanta-based investment advisory firm and two executives accused of[...]

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SEC Names Rebecca Olsen Deputy Director of Municipal Securities Office

May 20, 2015

The Securities and Exchange Commission today announced that Rebecca J. Olsen has been named deputy director in the agency’s Office[...]

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SEC Names Jessica Kane Director of Municipal Securities Office

May 20, 2015

The Securities and Exchange Commission today announced that Jessica Kane has been named the director of the agency’s Office of[...]

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SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers

May 20, 2015

The Securities and Exchange Commission today proposed rules, forms and amendments to modernize and enhance the reporting and disclosure of[...]

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SEC Charges Brokerage Firm Co-Owners With Defrauding Investors

May 20, 2015

The Securities and Exchange Commission today announced fraud charges against the co-owners of a Manhattan-based brokerage firm. The SEC alleges[...]

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SEC Charges BHP Billiton With Violating FCPA at Olympic Games

May 20, 2015

The Securities and Exchange Commission today charged global resources company BHP Billiton with violating the Foreign Corrupt Practices Act (FCPA)[...]

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SEC Chief of Staff Lona Nallengara to Leave Agency

May 19, 2015

The Securities and Exchange Commission today announced that SEC Chief of Staff Lona Nallengara will be leaving the agency at[...]

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Peter J. Curley, Associate Director in the Division of Trading and Markets, to Leave SEC

May 18, 2015

The Securities and Exchange Commission today announced that Peter J. Curley, Associate Director for Clearance and Settlement in the Division[...]

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SEC Charges Father and Son in $1.1 Million Insider Trading Scheme

May 14, 2015

The Securities and Exchange Commission today charged a father and son in New York with conducting a serial insider trading[...]

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SEC Charges Nationwide Life Insurance Company With Pricing Violations

May 14, 2015

The Securities and Exchange Commission today charged Nationwide Life Insurance Company with routinely violating pricing rules in its daily processing[...]

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SEC Names Wesley R. Bricker as Deputy Chief Accountant

May 14, 2015

The Securities and Exchange Commission today announced the appointment of Wesley R. Bricker as a Deputy Chief Accountant overseeing the[...]

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