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, 2015The Securities and Exchange Commission today announced that Daniel Murdock, a deputy chief accountant overseeing the accounting group in the[...]
Read ArticleSEC Announces Fraud Charges Against ITT Educational Services
May 12, 2015The Securities and Exchange Commission today announced fraud charges against ITT Educational Services Inc., its chief executive officer Kevin Modany,[...]
Read ArticleSEC Sues Retirement Planners for Making False Claims to Investors
May 11, 2015The Securities and Exchange Commission today charged a self-described retirement planning firm and its principals with falsely telling customers that[...]
Read ArticleSEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers
May 08, 2015The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their[...]
Read ArticleDavid Grim Named as Director of the Division of Investment Management
May 08, 2015The Securities and Exchange Commission today announced that David Grim has been named as Director of the Division of Investment[...]
Read ArticleSEC Approves Pilot to Assess Tick Size Impact for Smaller Companies
May 06, 2015The Securities and Exchange Commission today approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority[...]
Read ArticleSEC Charges Four Former Officers of Delaware Bank Holding Company With Disclosure Fraud
May 06, 2015The Securities and Exchange Commission today filed fraud charges against four former officers of Wilmington Trust for intentionally understating past[...]
Read ArticleSEC Announces Outreach Programs to Help Firms Comply With Regulation Systems Compliance and Integrity
May 05, 2015The Securities and Exchange Commission today announced it has opened registration for outreach programs to help firms comply with an[...]
Read ArticleSEC Announces Compliance Outreach Program Seminars for Investment Adviser and Investment Company Senior Officers
April 30, 2015The Securities and Exchange Commission today announced the schedule for Compliance Outreach Program regional seminars it is sponsoring in six[...]
Read ArticleSEC Proposes Rules to Require Companies to Disclose the Relationship Between Executive Pay and a Company’s Financial Performance
April 29, 2015The Securities and Exchange Commission today voted to propose rules to require companies to disclose the relationship between executive compensation[...]
Read ArticleSEC Proposes Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.
April 29, 2015The Securities and Exchange Commission today voted to propose rules governing the application of certain requirements to security-based swap transactions[...]
Read ArticleSEC Charges Santa Barbara-Based Hedge Fund Firm, Executives, and Auditor for Improper Expense Allocations
April 29, 2015The Securities and Exchange Commission today announced charges against a Santa Barbara, Calif.-based hedge fund advisory firm and two executives[...]
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