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 Unregistered Brokers in EB-5 Immigrant Investor Program
June 23, 2015The Securities and Exchange Commission today charged two firms that illegally brokered more than $79 million of investments by foreigners[...]
Read ArticleSEC Charges Microcap Oil Company, CEO, and Stock Promoter With Defrauding Investors
June 18, 2015The Securities and Exchange Commission today charged a Texas-based oil company and its CEO with defrauding investors about reserve estimates[...]
Read ArticleSEC Charges 36 Firms for Fraudulent Municipal Bond Offerings
June 18, 2015The Securities and Exchange Commission today announced enforcement actions against 36 municipal underwriting firms for violations in municipal bond offerings.[...]
Read ArticleSEC Charges Investment Adviser and Mutual Fund Board Members With Failures in Advisory Contract Approval Process
June 17, 2015The Securities and Exchange Commission today charged a mutual fund adviser, its principal, and three mutual fund board members with[...]
Read ArticleChina-Based Company and CEO To Pay $55.6 Million for Inaccurate Disclosures
June 17, 2015The Securities and Exchange Commission today announced a $55.6 million settlement with Focus Media Holding Limited and CEO Jason Jiang[...]
Read ArticleSEC Announces Enforcement Action for Illegal Offering of Security-Based Swaps
June 17, 2015The Securities and Exchange Commission today announced an enforcement action against a company that illegally offered complex derivatives products to[...]
Read ArticleSEC Charges Investment Adviser With Fraudulently Funneling Client Assets to Companies in Owner’s Interest
June 17, 2015The Securities and Exchange Commission today announced fraud charges against a Massachusetts-based investment advisory firm and its owner for funneling[...]
Read ArticleSEC Announces Charges Against Retirement Plan Custodian in Connection With Ponzi Scheme
June 16, 2015The Securities and Exchange Commission today announced charges against an Ohio-based self-directed IRA provider accused of ignoring red flags for[...]
Read ArticleInvestment Advisory Firm’s Former President Charged With Stealing Client Funds
June 15, 2015The Securities and Exchange Commission today announced fraud charges against a Washington D.C.-based investment advisory firm’s former president accused of[...]
Read ArticleSwiss Trader to Pay $2.8 Million to Settle Insider Trading Charges
June 15, 2015The Securities and Exchange Commission today announced that a Swiss trader has agreed to pay more than $2.8 million to[...]
Read ArticleSEC Publishes Request for Public Comment on Exchange-Traded Products
June 12, 2015The Securities and Exchange Commission today announced that it is seeking public comment to help inform its review of the[...]
Read ArticleSEC Charges Phony Hedge Fund Manager With Theft of Money Invested by Small Businesses
June 10, 2015The Securities and Exchange Commission today announced fraud charges against a New Jersey man accused of posing as a hedge[...]
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