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 Proposes Rules for Systemically Important and Security-Based Swap Clearing Agencies

March 12, 2014

The Securities and Exchange Commission voted today to propose new rules to enhance the oversight of clearing agencies that are[...]

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SEC Charges Jefferies LLC With Failing to Supervise Its Mortgage-Backed Securities Desk During Financial Crisis

March 12, 2014

The Securities and Exchange Commission today charged global investment bank and brokerage firm Jefferies LLC with failing to supervise employees[...]

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SEC Charges Animal Feed Company and Top Executives in China and U.S. With Accounting Fraud

March 11, 2014

The Securities and Exchange Commission today charged an animal feed company and top executives with conducting a massive accounting fraud[...]

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SEC Launches Enforcement Cooperation Initiative for Municipal Issuers and Underwriters

March 10, 2014

The Securities and Exchange Commission today announced a new cooperation initiative out of its Enforcement Division to encourage issuers and[...]

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SEC Charges Five Executives and Finance Professionals Behind Fraudulent Bond Offering by International Law Firm

March 06, 2014

The Securities and Exchange Commission today charged five executives and finance professionals with facilitating a $150 million fraudulent bond offering[...]

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SEC Halts International Pyramid Scheme Being Promoted Through Facebook and Twitter

March 05, 2014

The Securities and Exchange Commission today announced an emergency enforcement action to stop a fraudulent pyramid scheme by phony companies[...]

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SEC Announces Largest Monetary Sanction for Rule 105 Short Selling Violations

March 05, 2014

The Securities and Exchange Commission today announced the largest-ever monetary sanction for Rule 105 short selling violations as a Long[...]

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Fee Rate Advisory #4 for Fiscal Year 2014

February 28, 2014

Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to[...]

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SEC Announces Charges Against Arizona-Based Private Equity Fund Manager in Expense Misallocation Scheme

February 25, 2014

The Securities and Exchange Commission today announced charges against an Arizona-based private equity fund manager and his investment advisory firm[...]

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SEC Charges Wall Street Investment Banker With Insider Trading in Former Girlfriend’s Account to Pay Child Support

February 21, 2014

The Securities and Exchange Commission today announced an emergency action against a New York City-based investment banker charged with insider[...]

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Credit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients

February 21, 2014

The Securities and Exchange Commission today announced charges against Zurich-based Credit Suisse Group AG for violating the federal securities laws[...]

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Division of Trading And Markets Acting Director John Ramsay to Leave SEC

February 20, 2014

The Securities and Exchange Commission today announced that John Ramsay, acting director of the Division of Trading and Markets, will[...]

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