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.
Michele Anderson Named Associate Director in the Division of Corporation Finance
July 17, 2015The Securities and Exchange Commission announced today the promotion of Michele Anderson to the position of Associate Director in the[...]
Read ArticleSEC Pays More Than $3 Million to Whistleblower
July 17, 2015The Securities and Exchange Commission today announced a whistleblower award of more than $3 million to a company insider whose[...]
Read ArticleSEC Charges Pennsylvania Attorney with Insider Trading in Advance of Merger Announcement
July 16, 2015The Securities and Exchange Commission today charged a Pennsylvania attorney with insider trading in the stock of Harleysville Group, Inc.[...]
Read ArticleSEC Charges Purported Investment Adviser in San Diego With Stealing Client Funds and Conducting a Ponzi Scheme
July 16, 2015The Securities and Exchange Commission today charged a purported investment adviser in San Diego with stealing money from clients for[...]
Read ArticleSEC Chair White, Federal Agencies Join Forces for Military Consumer Protection Day 2015
July 15, 2015Securities and Exchange Commission Chair Mary Jo White led a multi-agency event today to support Military Consumer Protection Day 2015,[...]
Read ArticleSEC Charges 34 Defendants in Microcap Market Manipulation Schemes
July 14, 2015The Securities and Exchange Commission today charged 15 individuals and 19 entities for their roles in alleged schemes to manipulate[...]
Read ArticleOZ Management LP Admits Providing Inaccurate Data, Impacting Brokers’ Records and “Blue Sheets”
July 14, 2015The Securities and Exchange Commission today charged OZ Management LP with providing inaccurate trade data to four prime brokers, causing[...]
Read ArticleRelease of Joint Staff Report on October 15, 2014
July 13, 2015Staff from the U.S. Department of Treasury, the Board of Governors of the Federal Reserve System, the Federal Reserve Bank[...]
Read ArticleSEC Announces Settlement With Cooperator in Grand Central Post-It Notes Insider Trading Case
July 13, 2015The Securities and Exchange Commission today announced a settlement with a Brooklyn man who entered into a cooperation agreement to[...]
Read ArticleSEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting
July 08, 2015The Securities and Exchange Commission today announced that its Advisory Committee on Small and Emerging Companies will hold a public[...]
Read ArticleSEC Charges Oil Company and CEO in Scheme Targeting Chinese-Americans and EB-5 Investors
July 06, 2015The Securities and Exchange Commission today charged a Bay Area oil and gas company and its CEO with running a[...]
Read ArticleSEC Reappoints Lewis H. Ferguson to Second Term on PCAOB
July 02, 2015The Securities and Exchange Commission today announced that Public Company Accounting Oversight Board (PCAOB) member Lewis H. Ferguson has been[...]
Read Article