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 California-Based Stock Promoter With Defrauding Investors Seeking Pre-IPO Facebook and Twitter Shares
December 23, 2014The Securities and Exchange Commission today charged a stock promoter based in Santa Barbara, Calif., with fraudulently raising nearly $3.5[...]
Read ArticleSEC Charges Two Traders in Chile With Insider Trading
December 22, 2014The Securities and Exchange Commission today charged two business associates in Chile with insider trading on nonpublic information that one[...]
Read ArticleSEC Charges Corporate Attorney and Wife With Insider Trading on Client’s Confidential Information
December 22, 2014The Securities and Exchange Commission today charged a California-based attorney and his wife with insider trading on confidential information obtained[...]
Read ArticleSEC Charges Investment Manager F-Squared and Former CEO With Making False Performance Claims
December 22, 2014The Securities and Exchange Commission today announced that investment management firm F-Squared Investments has agreed to pay $35 million and[...]
Read ArticleSEC Proposes Amendments to Implement JOBS Act Mandate for Exchange Act Registration Requirements
December 18, 2014As mandated by the Jumpstart Our Business Startups Act (JOBS Act), the Securities and Exchange Commission has approved the issuance[...]
Read ArticleSEC Charges Staten Island-Based Firm With Operating Boiler Room Scheme Targeting Seniors
December 18, 2014The Securities and Exchange Commission today charged a Staten Island, N.Y.-based firm, its former president, and two sales representatives involved[...]
Read ArticleSEC Names Deputy Directors in the Division of Trading and Markets
December 17, 2014The Securities and Exchange Commission today announced that Gary Barnett and Gary Goldsholle have been named as deputy directors in[...]
Read ArticleSEC Charges Avon With FCPA Violations
December 17, 2014The Securities and Exchange Commission today charged global beauty products company Avon Products Inc. with violating the Foreign Corrupt Practices[...]
Read ArticleSEC Imposes Sanctions Against Hong Kong-Based Firm and Two Accountants for Audit Failures
December 17, 2014The Securities and Exchange Commission today imposed sanctions against a Hong Kong-based audit firm and two accountants for failing to[...]
Read ArticleSEC Announces Charges in Alleged Gold Mining Investment Scheme
December 16, 2014The Securities and Exchange Commission today announced charges against two individuals and their companies behind an alleged gold mining investment[...]
Read ArticleSEC Announces Charges Against Owner of Equity Research Firm Accused of Manipulative Trading
December 16, 2014The Securities and Exchange Commission today announced charges against a Phoenix-based equity research firm owner who allegedly manipulated the market[...]
Read ArticleSEC Charges New Orleans-Based Energy Company and Executives With Fraudulent Stock Manipulation
December 15, 2014The Securities and Exchange Commission today charged a New Orleans-based oil-and-gas company and five executives with running a stock trading[...]
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