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.
Citigroup 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[...]
Read ArticleSEC 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[...]
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