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 32 Defendants in Scheme to Trade on Hacked News Releases
August 11, 2015The Securities and Exchange Commission today announced fraud charges against 32 defendants for taking part in a scheme to profit[...]
Read ArticleGuggenheim Partners Investment Management LLC Settles Charges it Failed to Disclose Conflict to Clients
August 10, 2015The Securities and Exchange Commission today announced that Guggenheim Partners Investment Management LLC has agreed to settle charges it breached[...]
Read ArticleMiller Energy Resources, Former CFO, Current COO Charged With Accounting Fraud
August 06, 2015The Securities and Exchange Commission today announced charges alleging that Miller Energy Resources Inc., its former chief financial officer, and[...]
Read ArticleSEC Adopts Rule for Pay Ratio Disclosure
August 05, 2015The Securities and Exchange Commission today adopted a final rule that requires a public company to disclose the ratio of[...]
Read ArticleSEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants
August 05, 2015The Securities and Exchange Commission today adopted new rules to provide a comprehensive, efficient process for security-based swap dealers and[...]
Read ArticleSEC Charges Houston-Area Businessman in Ponzi Scheme
August 03, 2015The Securities and Exchange Commission today charged a Houston-area businessman with operating a $114 million Ponzi scheme that defrauded investors,[...]
Read ArticleSEC Charges Man With Microcap Fraud Involving Shares of Cynk Technology Corp.
July 31, 2015The Securities and Exchange Commission today charged a Canadian citizen with conducting a scheme to conceal his control and ownership[...]
Read ArticleSEC Charges Operators of Fraud Based in Upstate New York
July 30, 2015The Securities and Exchange Commission today charged two men and eight companies with defrauding investors, many of them upstate New[...]
Read ArticleDaniel M. Hawke, Chief of Market Abuse Unit, to Leave SEC After 16 Years of Service
July 29, 2015The Securities and Exchange Commission today announced that Daniel M. Hawke, chief of the Division of Enforcement’s Market Abuse Unit[...]
Read ArticleSEC Charges Mead Johnson Nutrition With FCPA Violations
July 28, 2015The Securities and Exchange Commission today announced that Mead Johnson Nutrition Company has agreed to settle charges that its Chinese[...]
Read ArticleFormer Oppenheimer Employees Settle Charges Involving Unregistered Sales of Penny Stocks
July 23, 2015The Securities and Exchange Commission today announced that three former employees of Oppenheimer & Co. Inc. have agreed to settle[...]
Read ArticleSEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes
July 21, 2015The Securities and Exchange Commission today charged a trio of alleged microcap stock scammers with defrauding investors by disseminating promotional[...]
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