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 Pyramid/Ponzi Scheme Targeting Spanish and Portuguese Communities
July 02, 2015The Securities and Exchange Commission today announced fraud charges and an asset freeze against the operators of a pyramid and[...]
Read ArticleSEC Solicits Public Comment on Audit Committee Disclosures
July 01, 2015The Securities and Exchange Commission today voted to publish a concept release seeking public comment on current audit committee disclosure[...]
Read ArticleSEC Charges Deloitte & Touche With Violating Auditor Independence Rules
July 01, 2015The Securities and Exchange Commission today charged Deloitte & Touche LLP with violating auditor independence rules when its consulting affiliate[...]
Read ArticleSEC Proposes Rules Requiring Companies to Adopt Clawback Policies on Executive Compensation
July 01, 2015The Securities and Exchange Commission today proposed rules directing national securities exchanges and associations to establish listing standards requiring companies[...]
Read ArticleSEC Charges Former Stockbroker With Conducting Ponzi Scheme
July 01, 2015The Securities and Exchange Commission today charged a former stockbroker in Pennsylvania with conducting a Ponzi scheme and stealing investor[...]
Read ArticleSEC Charges Hedge Fund Advisory Firm With Conducting Fraudulent Fund Valuation Scheme
July 01, 2015The Securities and Exchange Commission today charged a Greenwich, Conn.-based investment advisory firm and its two owners with fraudulently inflating[...]
Read ArticleSEC Charges Goldman Sachs With Violating Market Access Rule
June 30, 2015The Securities and Exchange Commission today charged Goldman, Sachs & Co. with violating the market access rule in connection with[...]
Read ArticleSEC Announces Cherry-Picking Charges Against Investment Manager
June 29, 2015The Securities and Exchange Commission today announced fraud charges against a Wisconsin-based investment advisory firm and its owner accused of[...]
Read ArticleSEC Charges KKR With Misallocating Broken Deal Expenses
June 29, 2015The Securities and Exchange Commission today charged Kohlberg Kravis Roberts & Co. (KKR) with misallocating more than $17 million in[...]
Read ArticleJohn Roeser Named Associate Director of the Office of Market Supervision
June 25, 2015The Securities and Exchange Commission today announced that it has named John C. Roeser as Associate Director and deputy head[...]
Read ArticleSEC Charges Microcap Promoter With Illegally Selling Penny Stock Shares
June 23, 2015The Securities and Exchange Commission today charged a microcap promoter with illegally selling more than 83 million penny stock shares[...]
Read ArticleSEC Obtains Asset Freeze Against China-Based Trader for Suspicious Activity Last Week
June 23, 2015The Securities and Exchange Commission today obtained an emergency court order to freeze the assets of a trader in China[...]
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