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, 2014

The Securities and Exchange Commission today charged a stock promoter based in Santa Barbara, Calif., with fraudulently raising nearly $3.5[...]

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SEC Charges Two Traders in Chile With Insider Trading

December 22, 2014

The Securities and Exchange Commission today charged two business associates in Chile with insider trading on nonpublic information that one[...]

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SEC Charges Corporate Attorney and Wife With Insider Trading on Client’s Confidential Information

December 22, 2014

The Securities and Exchange Commission today charged a California-based attorney and his wife with insider trading on confidential information obtained[...]

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SEC Charges Investment Manager F-Squared and Former CEO With Making False Performance Claims

December 22, 2014

The Securities and Exchange Commission today announced that investment management firm F-Squared Investments has agreed to pay $35 million and[...]

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SEC Proposes Amendments to Implement JOBS Act Mandate for Exchange Act Registration Requirements

December 18, 2014

As mandated by the Jumpstart Our Business Startups Act (JOBS Act), the Securities and Exchange Commission has approved the issuance[...]

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SEC Charges Staten Island-Based Firm With Operating Boiler Room Scheme Targeting Seniors

December 18, 2014

The Securities and Exchange Commission today charged a Staten Island, N.Y.-based firm, its former president, and two sales representatives involved[...]

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SEC Names Deputy Directors in the Division of Trading and Markets

December 17, 2014

The Securities and Exchange Commission today announced that Gary Barnett and Gary Goldsholle have been named as deputy directors in[...]

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SEC Charges Avon With FCPA Violations

December 17, 2014

The Securities and Exchange Commission today charged global beauty products company Avon Products Inc. with violating the Foreign Corrupt Practices[...]

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SEC Imposes Sanctions Against Hong Kong-Based Firm and Two Accountants for Audit Failures

December 17, 2014

The Securities and Exchange Commission today imposed sanctions against a Hong Kong-based audit firm and two accountants for failing to[...]

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SEC Announces Charges in Alleged Gold Mining Investment Scheme

December 16, 2014

The Securities and Exchange Commission today announced charges against two individuals and their companies behind an alleged gold mining investment[...]

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SEC Announces Charges Against Owner of Equity Research Firm Accused of Manipulative Trading

December 16, 2014

The Securities and Exchange Commission today announced charges against a Phoenix-based equity research firm owner who allegedly manipulated the market[...]

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SEC Charges New Orleans-Based Energy Company and Executives With Fraudulent Stock Manipulation

December 15, 2014

The 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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