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 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[...]
Read ArticleSEC Charges Biotech Employee, Two Stockbrokers With Insider Trading on Nonpublic Information About Pharmaceutical Trials and Merger
June 09, 2015The Securities and Exchange Commission today charged three men living in California with insider trading in the stock and options[...]
Read ArticleTrader to Pay $1 Million for Short Selling Violations
June 09, 2015The Securities and Exchange Commission today announced that a trader residing in Canada has agreed to pay more than $1[...]
Read ArticleAgencies Issue Final Standards for Assessing Diversity Policies and Practices of Regulated Entities
June 09, 2015Federal agencies today issued a final interagency policy statement establishing joint standards for assessing the diversity policies and practices of[...]
Read ArticleSEC Names Richard R. Best as Regional Director of Salt Lake Office
June 08, 2015The Securities and Exchange Commission today named Richard R. Best as Regional Director of its Salt Lake office. He[...]
Read ArticleDaniel Gregus Named Associate Director for Broker-Dealer Exam Program in Chicago
June 05, 2015The Securities and Exchange Commission today announced that it has named Daniel R. Gregus as the Associate Director for the[...]
Read ArticleSEC Charges CSC and Former Executives With Accounting Fraud
June 05, 2015The Securities and Exchange Commission today charged Computer Sciences Corporation and former executives with manipulating financial results and concealing significant[...]
Read ArticleSEC Freezes Profits From Scheme to Manipulate Avon Stock
June 04, 2015The Securities and Exchange Commission today announced an emergency asset freeze of two U.S. brokerage accounts connected to schemes to[...]
Read ArticleSEC Staff Provides Additional Analysis Related to Proposed Pay Ratio Disclosure Rules
June 04, 2015The Securities and Exchange Commission staff today made available additional analysis related to its proposed rules for pay ratio disclosure.[...]
Read ArticleSEC Warns of Purported Financial Professionals Using False Credentials to Attract Investors
June 03, 2015The Securities and Exchange Commission today warned investors to thoroughly check the claimed credentials of people soliciting their investments to[...]
Read ArticleSEC Charges Four With Insider Trading Ahead of Secondary Offerings
June 03, 2015The Securities and Exchange Commission today announced insider trading charges against four individuals stealing confidential information from investment banks and[...]
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