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 Charges Operators of Fraud Based in Upstate New York
July 30, 2015The Securities and Exchange Commission today charged two men and eight companies with defrauding investors, many of them upstate New[...]
Read ArticleDaniel M. Hawke, Chief of Market Abuse Unit, to Leave SEC After 16 Years of Service
July 29, 2015The Securities and Exchange Commission today announced that Daniel M. Hawke, chief of the Division of Enforcement’s Market Abuse Unit[...]
Read ArticleSEC Charges Mead Johnson Nutrition With FCPA Violations
July 28, 2015The Securities and Exchange Commission today announced that Mead Johnson Nutrition Company has agreed to settle charges that its Chinese[...]
Read ArticleFormer Oppenheimer Employees Settle Charges Involving Unregistered Sales of Penny Stocks
July 23, 2015The Securities and Exchange Commission today announced that three former employees of Oppenheimer & Co. Inc. have agreed to settle[...]
Read ArticleSEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes
July 21, 2015The Securities and Exchange Commission today charged a trio of alleged microcap stock scammers with defrauding investors by disseminating promotional[...]
Read ArticleMichele 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[...]
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