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 Halts Investment Scheme Targeting Military Personnel
April 14, 2015The Securities and Exchange Commission today announced fraud charges and an asset freeze against a man living in central Texas[...]
Read ArticleSEC Announces Fraud Charges Against Former Accounting Executive at Japanese Subsidiary
April 09, 2015The Securities and Exchange Commission today announced fraud charges against the former controller of a suburban Chicago company’s Japanese subsidiary[...]
Read ArticleSEC Names Marc Wyatt as Acting Director of the Office of Compliance Inspections and Examinations
April 09, 2015The Securities and Exchange Commission today announced that Marc Wyatt will serve as Acting Director of the agency’s Office of[...]
Read ArticleSEC Halts Microcap Scheme in South Florida
April 09, 2015The Securities and Exchange Commission today announced fraud charges and an asset freeze against the operators of a South Florida-based[...]
Read ArticleSEC Charges Oregon-Based Defense Contractor With FCPA Violations
April 08, 2015The Securities and Exchange Commission today charged Oregon-based FLIR Systems Inc. with violating the Foreign Corrupt Practices Act (FCPA) by[...]
Read ArticleGregg E. Berman, Associate Director in the Division of Trading and Markets, to Leave SEC
April 08, 2015The Securities and Exchange Commission today announced that Gregg E. Berman, Associate Director of the Office of Analytics and Research[...]
Read ArticleSEC Charges L.A.-Based Pacific West Capital Group With Fraud in Sale of Life Settlement Investments
April 07, 2015The Securities and Exchange Commission today charged Los Angeles-based Pacific West Capital Group Inc. and its owner Andrew B. Calhoun[...]
Read ArticleOCIE Director Andrew Bowden to Leave SEC
April 07, 2015The Securities and Exchange Commission today announced that Andrew Bowden, Director of the Office of Compliance Inspections and Examinations (OCIE),[...]
Read ArticleSEC Obtains Asset Freeze in Ponzi Scheme Involving Loans to Professional Athletes
April 07, 2015The Securities and Exchange Commission today announced fraud charges against a former professional football player and others, alleging they operated[...]
Read ArticleSEC Charges Firms and Individuals for Defrauding Investors in Cellular Licensing Scheme
April 06, 2015The Securities and Exchange Commission today charged 12 companies and six individuals with defrauding investors in a scheme involving applications[...]
Read ArticleSEC Charges Friends With Insider Trading on Acquisition of Cooper Tire
April 02, 2015The Securities and Exchange Commission today charged two longtime friends who illegally profited from insider trading on news of a[...]
Read ArticleSEC Charges North Carolina Executive With Fraud
April 01, 2015The Securities and Exchange Commission today charged the owner and chief executive of a North Carolina business with defrauding a[...]
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