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, 2015

The Securities and Exchange Commission today announced its first enforcement action against a company for using improperly restrictive language in[...]

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SEC Charges Former Polycom CEO With Hiding Perks From Investors

March 31, 2015

The Securities and Exchange Commission today charged the former CEO of Silicon Valley-based technology firm Polycom Inc. with using nearly[...]

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SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From Investors

March 30, 2015

The Securities and Exchange Commission today announced fraud charges against an investment adviser and her New York-based firms accused of[...]

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SEC Charges New York-Based Brokerage Firm With Faulty Underwriting of Public Offering by China-Based Company

March 27, 2015

The Securities and Exchange Commission today announced charges against a New York-based brokerage firm responsible for underwriting a public offering[...]

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SEC Charges Nearly Two Dozen Unregistered Broker-Dealers

March 26, 2015

The Securities and Exchange Commission today charged nearly two dozen companies and individuals who regularly bought and sold securities on[...]

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SEC Adopts Rules to Facilitate Smaller Companies’ Access to Capital

March 25, 2015

The Securities and Exchange Commission today adopted final rules to facilitate smaller companies’ access to capital.  The new rules provide[...]

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SEC Proposes Rule to Require Broker-Dealers Active in Off-Exchange Market to Become Members of National Securities Association

March 25, 2015

The Securities and Exchange Commission today proposed rule amendments to require that broker-dealers trading in off-exchange venues become members of[...]

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Corporate Insiders Charged for Failing to Update Disclosures Involving “Going Private” Transactions

March 13, 2015

The Securities and Exchange Commission today charged eight officers, directors, or major shareholders for failing to update their stock ownership[...]

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SEC Charges Texas-Based Brokerage Firm With Violating Supervisory and Customer Protection Rules

March 04, 2015

The Securities and Exchange Commission today charged an Irving, Texas-based brokerage firm with violating key customer protection rules after failing[...]

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Former Company Officer Earns Half-Million Dollar Whistleblower Award for Reporting Fraud Case to SEC

March 02, 2015

The Securities and Exchange Commission today announced a whistleblower award payout between $475,000 and $575,000 to a former company officer[...]

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SEC Suspends Trading in 128 Dormant Shell Companies to Put Them Out of Reach of Microcap Fraudsters

March 02, 2015

The Securities and Exchange Commission today announced it has suspended trading in 128 inactive penny stock companies to ensure they[...]

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SEC Halts Ponzi-Like Scheme by Purported Venture Capital Fund Manager in Buffalo

February 27, 2015

The Securities and Exchange Commission today charged a purported venture capital fund manager in Buffalo, N.Y., with fraudulently using money[...]

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