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: Companies Cannot Stifle Whistleblowers in Confidentiality Agreements
April 01, 2015The Securities and Exchange Commission today announced its first enforcement action against a company for using improperly restrictive language in[...]
Read ArticleSEC Charges Former Polycom CEO With Hiding Perks From Investors
March 31, 2015The Securities and Exchange Commission today charged the former CEO of Silicon Valley-based technology firm Polycom Inc. with using nearly[...]
Read ArticleSEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From Investors
March 30, 2015The Securities and Exchange Commission today announced fraud charges against an investment adviser and her New York-based firms accused of[...]
Read ArticleSEC Charges New York-Based Brokerage Firm With Faulty Underwriting of Public Offering by China-Based Company
March 27, 2015The Securities and Exchange Commission today announced charges against a New York-based brokerage firm responsible for underwriting a public offering[...]
Read ArticleSEC Charges Nearly Two Dozen Unregistered Broker-Dealers
March 26, 2015The Securities and Exchange Commission today charged nearly two dozen companies and individuals who regularly bought and sold securities on[...]
Read ArticleSEC Adopts Rules to Facilitate Smaller Companies’ Access to Capital
March 25, 2015The Securities and Exchange Commission today adopted final rules to facilitate smaller companies’ access to capital. The new rules provide[...]
Read ArticleSEC Proposes Rule to Require Broker-Dealers Active in Off-Exchange Market to Become Members of National Securities Association
March 25, 2015The Securities and Exchange Commission today proposed rule amendments to require that broker-dealers trading in off-exchange venues become members of[...]
Read ArticleCorporate Insiders Charged for Failing to Update Disclosures Involving “Going Private” Transactions
March 13, 2015The Securities and Exchange Commission today charged eight officers, directors, or major shareholders for failing to update their stock ownership[...]
Read ArticleSEC Charges Texas-Based Brokerage Firm With Violating Supervisory and Customer Protection Rules
March 04, 2015The Securities and Exchange Commission today charged an Irving, Texas-based brokerage firm with violating key customer protection rules after failing[...]
Read ArticleFormer Company Officer Earns Half-Million Dollar Whistleblower Award for Reporting Fraud Case to SEC
March 02, 2015The Securities and Exchange Commission today announced a whistleblower award payout between $475,000 and $575,000 to a former company officer[...]
Read ArticleSEC Suspends Trading in 128 Dormant Shell Companies to Put Them Out of Reach of Microcap Fraudsters
March 02, 2015The Securities and Exchange Commission today announced it has suspended trading in 128 inactive penny stock companies to ensure they[...]
Read ArticleSEC Halts Ponzi-Like Scheme by Purported Venture Capital Fund Manager in Buffalo
February 27, 2015The Securities and Exchange Commission today charged a purported venture capital fund manager in Buffalo, N.Y., with fraudulently using money[...]
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