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.

 

Bank of America Admits Disclosure Failures to Settle SEC Charges

August 21, 2014

The Securities and Exchange Commission today announced a settlement in which Bank of America admits that it failed to inform[...]

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Chief Information Officer Thomas Bayer to Leave SEC

August 20, 2014

The Securities and Exchange Commission today announced that its Chief Information Officer Thomas Bayer is planning to leave the agency[...]

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SEC Announces Municipal Advisor Exam Initiative

August 19, 2014

The Securities and Exchange Commission today announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an examination[...]

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SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition

August 18, 2014

The Securities and Exchange Commission today charged a former bank executive in Massachusetts and his friend with insider trading in[...]

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SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking

August 15, 2014

The Securities and Exchange Commission today announced charges against a Houston-based penny stock company and four individuals behind a pump-and-dump[...]

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SEC Charges N.Y.-Based Brokerage Firm With Overcharging Customers in $18 Million Scheme

August 14, 2014

The Securities and Exchange Commission today charged New York-based brokerage firm Linkbrokers Derivatives LLC for unlawfully taking secret profits of[...]

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SEC Charges Atlanta-Based Accountant With Insider Trading on Confidential Information From Client

August 14, 2014

The Securities and Exchange Commission today announced charges against an accounting firm partner in Atlanta for insider trading in the[...]

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Robert Keyes, Senior Officer in New York Regional Office, to Retire After Nearly 22 Years of Federal Service

August 12, 2014

The Securities and Exchange Commission today announced that Robert J. Keyes, a senior officer in the New York Regional Office,[...]

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SEC Charges Kansas for Understating Municipal Bond Exposure to Unfunded Pension Liability

August 11, 2014

The Securities and Exchange Commission today announced securities fraud charges against the state of Kansas stemming from a nationwide review[...]

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SEC Charges Bahamas-Based Brokerage Firm and President With Facilitating Fraudulent Scheme by Hedge Fund Manager

August 08, 2014

The Securities and Exchange Commission today charged a Bahamas-based brokerage firm and its president for enabling a fraud that was[...]

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SEC Announces Charges Against N.Y.-Based Brokerage Firm and Founder Despite Attempts to Mislead Examiners

August 08, 2014

The Securities and Exchange Commission today announced charges against a New York-based brokerage firm and its founder for allegedly violating[...]

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SEC Names Thomas M. Piccone to Lead National Exam Program in Denver Office

August 08, 2014

The Securities and Exchange Commission today announced that it has named Thomas M. Piccone to lead the National Exam Program[...]

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