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, 2014

The Securities and Exchange Commission today announced charges and asset freezes against the operators of a worldwide pyramid scheme targeting[...]

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SEC Announces Fraud Charges Against Coal Company and CEO for False Disclosures About Management

March 27, 2014

The Securities and Exchange Commission today announced fraud charges against a Seattle-headquartered coal company and its founder for making false[...]

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Nuts & Bolts of Being a Director

March 27, 2014

Update: This event has now passed. Please contact us for upcoming event recommendations or visit upcoming events hosted by Mutual[...]

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SEC Names Jeffrey Boujoukos as Associate Regional Director in Philadelphia Office

March 25, 2014

The Securities and Exchange Commission today announced that G. Jeffrey Boujoukos has been named the associate regional director for enforcement[...]

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SEC Announces Agenda, Panelists for Cybersecurity Roundtable

March 24, 2014

The Securities and Exchange Commission today announced the agenda and panelists for its March 26 roundtable on the issues and[...]

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Staff Analysis of Data and Academic Literature Related to Money Market Fund Reform

March 24, 2014

The staff of the Securities and Exchange Commission today made available certain analyses of data and academic literature related to[...]

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SEC Charges Stockbroker and Law Firm Managing Clerk in $5.6 Million Insider Trading Scheme

March 19, 2014

View Chart of Trading Profits (pdf, 123 kb) The Securities and Exchange Commission today charged a stockbroker and a managing[...]

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SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers

March 18, 2014

The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the[...]

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SEC Charges CR Intrinsic Analyst with Insider Trading

March 13, 2014

The Securities and Exchange Commission today charged a former analyst at an affiliate of hedge fund advisory firm S.A.C. Capital[...]

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SEC Obtains Asset Freeze Against Promoter Behind Microcap Stock Scalping Scheme

March 13, 2014

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against a promoter behind a platform[...]

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SEC Charges Lions Gate With Disclosure Failures While Preventing Hostile Takeover

March 13, 2014

The Securities and Exchange Commission today charged motion picture company Lions Gate Entertainment Corp. with failing to fully and accurately[...]

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SEC Announces Charges Against Brokers, Adviser, and Others Involved in Variable Annuities Scheme to Profit From Terminally Ill

March 13, 2014

The Securities and Exchange Commission today announced enforcement actions against a pair of brokers, an investment advisory firm, and several[...]

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