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 Halts Pyramid Scheme Targeting Asian and Latino Communities
March 28, 2014The Securities and Exchange Commission today announced charges and asset freezes against the operators of a worldwide pyramid scheme targeting[...]
Read ArticleSEC Announces Fraud Charges Against Coal Company and CEO for False Disclosures About Management
March 27, 2014The Securities and Exchange Commission today announced fraud charges against a Seattle-headquartered coal company and its founder for making false[...]
Read ArticleNuts & Bolts of Being a Director
March 27, 2014Update: This event has now passed. Please contact us for upcoming event recommendations or visit upcoming events hosted by Mutual[...]
Read ArticleSEC Names Jeffrey Boujoukos as Associate Regional Director in Philadelphia Office
March 25, 2014The Securities and Exchange Commission today announced that G. Jeffrey Boujoukos has been named the associate regional director for enforcement[...]
Read ArticleSEC Announces Agenda, Panelists for Cybersecurity Roundtable
March 24, 2014The Securities and Exchange Commission today announced the agenda and panelists for its March 26 roundtable on the issues and[...]
Read ArticleStaff Analysis of Data and Academic Literature Related to Money Market Fund Reform
March 24, 2014The staff of the Securities and Exchange Commission today made available certain analyses of data and academic literature related to[...]
Read ArticleSEC Charges Stockbroker and Law Firm Managing Clerk in $5.6 Million Insider Trading Scheme
March 19, 2014View Chart of Trading Profits (pdf, 123 kb) The Securities and Exchange Commission today charged a stockbroker and a managing[...]
Read ArticleSEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers
March 18, 2014The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the[...]
Read ArticleSEC Charges CR Intrinsic Analyst with Insider Trading
March 13, 2014The Securities and Exchange Commission today charged a former analyst at an affiliate of hedge fund advisory firm S.A.C. Capital[...]
Read ArticleSEC Obtains Asset Freeze Against Promoter Behind Microcap Stock Scalping Scheme
March 13, 2014The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against a promoter behind a platform[...]
Read ArticleSEC Charges Lions Gate With Disclosure Failures While Preventing Hostile Takeover
March 13, 2014The Securities and Exchange Commission today charged motion picture company Lions Gate Entertainment Corp. with failing to fully and accurately[...]
Read ArticleSEC Announces Charges Against Brokers, Adviser, and Others Involved in Variable Annuities Scheme to Profit From Terminally Ill
March 13, 2014The Securities and Exchange Commission today announced enforcement actions against a pair of brokers, an investment advisory firm, and several[...]
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