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.
Fee 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[...]
Read ArticleSEC Names Shamoil T. Shipchandler as Regional Director of Fort Worth Office
August 18, 2015The Securities and Exchange Commission today announced that Shamoil T. Shipchandler has been named Regional Director of its Fort Worth[...]
Read ArticleCitigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charges
August 17, 2015The Securities and Exchange Commission today announced that two Citigroup affiliates have agreed to pay nearly $180 million to settle[...]
Read ArticleThree Maryland Men Settle Charges They Defrauded Investors in Real Estate Investment Company
August 13, 2015The Securities and Exchange Commission today announced that three Maryland men have agreed to settle charges that they defrauded investors[...]
Read ArticleEdward Jones to Pay $20 Million for Overcharging Retail Customers in Municipal Bond Underwritings
August 13, 2015The Securities and Exchange Commission today announced that St. Louis-based brokerage firm Edward Jones and the former head of its[...]
Read ArticleSEC Charges Former Software Executive With FCPA Violations
August 12, 2015The Securities and Exchange Commission today announced that a former executive at a worldwide software manufacturer has agreed to settle[...]
Read ArticleSEC Charges ITG With Operating Secret Trading Desk and Misusing Dark Pool Subscriber Trading Information
August 12, 2015The Securities and Exchange Commission today announced that ITG Inc. and its affiliate AlterNet Securities have agreed to pay $20.3[...]
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