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 Suspends Trading in Nine Penny Stocks in Ongoing Initiative to Combat Microcap Fraud

September 25, 2014

The Securities and Exchange Commission today announced suspensions in trading for nine different penny stocks as part of an ongoing[...]

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SEC Charges Software Company in Silicon Valley and Two Former Executives Behind Fraudulent Accounting Scheme

September 24, 2014

The Securities and Exchange Commission today charged a Silicon Valley-based software company and two former executives behind an accounting fraud[...]

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SEC Charges Two Florida-Based Attorneys for Roles in Offering Fraud by Transfer Agent

September 23, 2014

The Securities and Exchange Commission today charged two Florida-based attorneys for their roles in an offering fraud conducted by a[...]

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SEC Charges Purported Health Food Company and CEO with Issuing False Press Releases in Microcap Fraud

September 23, 2014

The Securities and Exchange Commission today charged a Florida-based penny stock company and its CEO with defrauding investors by issuing[...]

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SEC Charges Barclays Capital with Systemic Compliance Failures After Acquiring Lehman’s Advisory Business

September 23, 2014

The Securities and Exchange Commission today charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system to[...]

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SEC Names Liban Jama as Director of Atlanta Regional Office

September 23, 2014

The Securities and Exchange Commission today announced the appointment of Liban Jama as director of the Atlanta Regional Office, where[...]

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Rhea Dignam Named as Senior Counsel To OCIE Director

September 23, 2014

The Securities and Exchange Commission today announced that Rhea Kemble Dignam has been named as senior counsel to the director[...]

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SEC Announces Arrival of New Administrative Law Judge

September 22, 2014

The Securities and Exchange Commission today announced that Jason S. Patil begins work at the agency this week as an[...]

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Wells Fargo Advisors Admits Failing to Maintain Controls and Producing Altered Document, Agrees to Pay $5 Million Penalty

September 22, 2014

The Securities and Exchange Commission today charged Wells Fargo Advisors LLC with failing to maintain adequate controls to prevent one[...]

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SEC Announces Largest-Ever Whistleblower Award

September 22, 2014

The Securities and Exchange Commission today announced an expected award of more than $30 million to a whistleblower who provided[...]

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SEC Charges New York-Based Private Equity Fund Adviser With Misallocation Of Portfolio Company Expenses

September 22, 2014

The Securities and Exchange Commission today charged a New York-based investment advisory firm with breaching its fiduciary duty to a[...]

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SEC Charges Brooklyn Man for Facilitating Insider Trading Scheme Via Post-It Notes at Grand Central Terminal

September 19, 2014

The Securities and Exchange Commission today charged a Brooklyn man with facilitating a $5.6 million insider trading scheme that typically[...]

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