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.

 

Fee Rate Advisory #4 for Fiscal Year 2015

February 27, 2015

Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to[...]

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SEC Announces Agenda for March 4 Meeting of the Advisory Committee on Small and Emerging Companies

February 27, 2015

The Securities and Exchange Commission today announced that the next meeting of its Advisory Committee on Small and Emerging Companies[...]

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Readout of SEC Chair Mary Jo White’s Meeting with European Union Financial Services Commissioner Jonathan Hill

February 26, 2015

Securities and Exchange Commission Chair Mary Jo White hosted a meeting this morning with European Union Financial Services Commissioner Jonathan[...]

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SEC Salt Lake Office Director Karen Martinez to Retire From Public Service

February 26, 2015

The Securities and Exchange Commission today announced that Karen L. Martinez, Regional Director of the Salt Lake office, is leaving[...]

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SEC Charges Goodyear With FCPA Violations

February 24, 2015

The Securities and Exchange Commission today charged Goodyear Tire & Rubber Company with violating the Foreign Corrupt Practices Act (FCPA)[...]

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2015 Vigilant Compliance Investment Adviser Conference at the Four Seasons in Philadelphia

February 20, 2015

Vigilant Compliance is hosting its 2nd Annual Investment Adviser conference-Luncheon at the Four Seasons hotel in Philadelphia, PA. Our industry-leading[...]

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SEC Charges Brothers-in-Law in Louisiana With Insider Trading

February 19, 2015

The Securities and Exchange Commission today announced insider trading charges against a former Fortune 500 company executive and his brother-in-law[...]

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SEC Charges New York-Based Brokerage Firm and CEO With Committing Fraud During CDO Liquidation Auctions

February 19, 2015

The Securities and Exchange Commission today charged a New York City-based brokerage firm and its CEO with fraudulently deceiving other[...]

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SEC Halts Colorado-Based Pyramid Scheme

February 18, 2015

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against two operators of a Colorado-based[...]

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SEC Announces Fraud Charges Against Purported Hedge Fund Manager

February 13, 2015

The Securities and Exchange Commission today charged a purported hedge fund manager in New York City with stealing money from[...]

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Pamela C. Dyson Named SEC Chief Information Officer

February 12, 2015

The Securities and Exchange Commission today announced that Pamela C. Dyson has been appointed as the SEC’s Chief Information Officer[...]

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SEC Announces Agenda, Panelists for Proxy Voting Roundtable

February 12, 2015

The Securities and Exchange Commission today announced the agenda and panelists for its February 19 roundtable on ways to improve[...]

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