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 Announces Charges Against Honolulu Woman Defrauding Investors Through Social Media

April 08, 2014

The Securities and Exchange Commission today announced fraud charges against a Honolulu woman posing as an investment banker and soliciting[...]

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SEC Charges Las Vegas-Based Transfer Agent With Disclosure Failures in Registration Forms

April 08, 2014

The Securities and Exchange Commission today announced enforcement actions against two leaders at a Las Vegas-based transfer agent firm who[...]

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SEC, Criminal Authorities Halt Florida-Based Ponzi Scheme Targeting Investors Through YouTube Videos

April 08, 2014

The Securities and Exchange Commission today announced fraud charges and an asset freeze against the operators of a South Florida-based[...]

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SEC Charges CVS With Misleading Investors and Committing Accounting Violations

April 08, 2014

The Securities and Exchange Commission today charged CVS Caremark Corp. with misleading investors about significant financial setbacks and using improper[...]

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SEC Announces Additional $150,000 Payment to Recipient of First Whistleblower Award

April 04, 2014

The Securities and Exchange Commission today announced that the whistleblower who received the first award under the agency’s new whistleblower[...]

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SEC Charges Owner of N.J.-Based Brokerage Firm With Manipulative Trading

April 04, 2014

The Securities and Exchange Commission today charged the owner of a Holmdel, N.J.-based brokerage firm with manipulative trading of publicly[...]

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SEC Seeks Comment on Investor Advisory Committee Recommendation Regarding Target Date Funds

April 03, 2014

The Securities and Exchange Commission today announced that it is seeking comment on a recommendation by its Investor Advisory Committee[...]

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SEC Charges Two Friends With Insider Trading Ahead of Impending Acquisition

April 03, 2014

The Securities and Exchange Commission today charged two friends with insider trading on confidential information from an investment banker about[...]

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SEC Charges Transamerica Financial Advisors With Improperly Calculating Advisory Fees and Overcharging Clients

April 03, 2014

The Securities and Exchange Commission today announced charges against a St. Petersburg, Fla.-based financial services firm for improperly calculating advisory[...]

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Rebecca Olsen Named Chief Counsel in the Office of Municipal Securities

April 02, 2014

The Securities and Exchange Commission today announced that Rebecca J. Olsen has been named chief counsel in its Office of[...]

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Jessica Kane Named Deputy Director in the Office of Municipal Securities

April 02, 2014

The Securities and Exchange Commission today announced that Jessica S. Kane has been named deputy director in its Office of[...]

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SEC Charges Two Men With Insider Trading on Confidential Information From Their Wives

March 31, 2014

The Securities and Exchange Commission today announced two separate cases against men who profited by insider trading on confidential information[...]

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