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.

 

Deputy Chief Accountant Dan Murdock to Leave SEC

May 14, 2015

The Securities and Exchange Commission today announced that Daniel Murdock, a deputy chief accountant overseeing the accounting group in the[...]

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SEC Announces Fraud Charges Against ITT Educational Services

May 12, 2015

The Securities and Exchange Commission today announced fraud charges against ITT Educational Services Inc., its chief executive officer Kevin Modany,[...]

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SEC Sues Retirement Planners for Making False Claims to Investors

May 11, 2015

The Securities and Exchange Commission today charged a self-described retirement planning firm and its principals with falsely telling customers that[...]

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SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers

May 08, 2015

The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their[...]

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David Grim Named as Director of the Division of Investment Management

May 08, 2015

The Securities and Exchange Commission today announced that David Grim has been named as Director of the Division of Investment[...]

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SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies

May 06, 2015

The Securities and Exchange Commission today approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority[...]

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SEC Charges Four Former Officers of Delaware Bank Holding Company With Disclosure Fraud

May 06, 2015

The Securities and Exchange Commission today filed fraud charges against four former officers of Wilmington Trust for intentionally understating past[...]

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SEC Announces Outreach Programs to Help Firms Comply With Regulation Systems Compliance and Integrity

May 05, 2015

The Securities and Exchange Commission today announced it has opened registration for outreach programs to help firms comply with an[...]

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SEC Announces Compliance Outreach Program Seminars for Investment Adviser and Investment Company Senior Officers

April 30, 2015

The Securities and Exchange Commission today announced the schedule for Compliance Outreach Program regional seminars it is sponsoring in six[...]

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SEC Proposes Rules to Require Companies to Disclose the Relationship Between Executive Pay and a Company’s Financial Performance

April 29, 2015

The Securities and Exchange Commission today voted to propose rules to require companies to disclose the relationship between executive compensation[...]

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SEC Proposes Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.

April 29, 2015

The Securities and Exchange Commission today voted to propose rules governing the application of certain requirements to security-based swap transactions[...]

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SEC Charges Santa Barbara-Based Hedge Fund Firm, Executives, and Auditor for Improper Expense Allocations

April 29, 2015

The Securities and Exchange Commission today announced charges against a Santa Barbara, Calif.-based hedge fund advisory firm and two executives[...]

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