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 Smith & Wesson With FCPA Violations

July 28, 2014

The Securities and Exchange Commission today charged Smith & Wesson Holding Corporation with violating the Foreign Corrupt Practices Act (FCPA)[...]

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Citigroup Business Unit Charged With Failing to Protect Confidential Subscriber Data While Operating Alternative Trading System

July 25, 2014

The Securities and Exchange Commission today charged a Citigroup business unit operating an alternative trading system (ATS) with failing to[...]

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SEC Charges Florida-Based Transfer Agent and Owner with Defrauding Investors

July 24, 2014

The Securities and Exchange Commission today announced it has charged a Florida-based transfer agent and its owner with defrauding investors[...]

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SEC Announces Additional Charges in Football-Related Boiler Room Scheme

July 24, 2014

The Securities and Exchange Commission today announced a second round of charges against individuals behind a boiler room scheme that[...]

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Morgan Stanley to Pay $275 Million for Misleading Investors in Subprime RMBS Offerings

July 24, 2014

The Securities and Exchange Commission today charged three Morgan Stanley entities with misleading investors in a pair of residential mortgage-backed[...]

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SEC Adopts Money Market Fund Reform Rules

July 23, 2014

The Securities and Exchange Commission today adopted amendments to the rules that govern money market mutual funds.  The amendments make[...]

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SEC Charges Investor Relations Executive With Insider Trading While Preparing Clients’ Press Releases

July 22, 2014

The Securities and Exchange Commission today charged a partner at a New York-based investor relations firm with insider trading on[...]

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Mark J. Flannery Named SEC Chief Economist and Director of Economic and Risk Analysis Division

July 21, 2014

The Securities and Exchange Commission today announced it has named Mark J. Flannery as its chief economist and director of[...]

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SEC Charges Penny Stock Company CEO and Purported Business Partner for Defrauding Investors With False Press Releases

July 18, 2014

The Securities and Exchange Commission today charged a serial con artist and a penny stock company CEO with misleading investors[...]

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SEC Charges Self-Described Bankers, Dishonest Brokers, and Microcap Company Executive in Pump-And-Dump Scheme

July 17, 2014

The Securities and Exchange Commission today charged individuals who pocketed millions of dollars running an elaborate pump-and-dump scheme involving shares[...]

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SEC Charges Seattle Firm and Owner With Misusing Client Assets for Vacation Home and Vintage Automobile

July 17, 2014

The Securities and Exchange Commission today charged the owner of a Seattle-based investment advisory firm with fraudulently misusing client assets[...]

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SEC Announces Charges in Scheme to Secretly Enable Lawbreakers to Run Microcap Company

July 16, 2014

The Securities and Exchange Commission today announced fraud charges against four individuals and a microcap company for concealing from investors[...]

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