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 Two Stock Promoters With Conducting Market Manipulation Schemes
May 28, 2015The Securities and Exchange Commission today charged a pair of penny stock promoters in Canada with manipulating two microcap stocks[...]
Read ArticleSEC Names Andrew J. Donohue as Chief of Staff
May 28, 2015The Securities and Exchange Commission today announced that Andrew J. “Buddy” Donohue has been named the agency’s chief of staff. [...]
Read ArticleSEC Announces Charges Against Compliance Director Accused of Defrauding Investors and Stealing Brokerage Firm Assets
May 28, 2015The Securities and Exchange Commission today announced fraud charges against a Long Island man accused of fleecing investors and stealing[...]
Read ArticleSEC Announces Agenda for June 3 Meeting of the Advisory Committee on Small and Emerging Companies
May 28, 2015The Securities and Exchange Commission today announced that the next meeting of its Advisory Committee on Small and Emerging Companies[...]
Read Article2nd Annual Conference at the Four Seasons Hosted by Vigilant Compliance
May 26, 2015Vigilant Compliance, LLC Hosted its 2nd Annual Conference at the Four Seasons in Philadelphia, PA on April 22, 2015. Contact[...]
Read ArticleSEC Charges New York Lawyer and Two Promoters With Market Manipulation
May 26, 2015The Securities and Exchange Commission today announced fraud charges against a securities lawyer who used his New York law office[...]
Read ArticleSEC Charges Deutsche Bank With Misstating Financial Reports During Financial Crisis
May 26, 2015The Securities and Exchange Commission today charged Deutsche Bank AG with filing misstated financial reports during the height of the[...]
Read ArticleSEC Announces Charges Against Investment Firm and Two Executives Accused of Defrauding Police and Firefighter Pension Funds
May 21, 2015The Securities and Exchange Commission today announced fraud charges against an Atlanta-based investment advisory firm and two executives accused of[...]
Read ArticleSEC Names Rebecca Olsen Deputy Director of Municipal Securities Office
May 20, 2015The Securities and Exchange Commission today announced that Rebecca J. Olsen has been named deputy director in the agency’s Office[...]
Read ArticleSEC Names Jessica Kane Director of Municipal Securities Office
May 20, 2015The Securities and Exchange Commission today announced that Jessica Kane has been named the director of the agency’s Office of[...]
Read ArticleSEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers
May 20, 2015The Securities and Exchange Commission today proposed rules, forms and amendments to modernize and enhance the reporting and disclosure of[...]
Read ArticleSEC Charges Brokerage Firm Co-Owners With Defrauding Investors
May 20, 2015The Securities and Exchange Commission today announced fraud charges against the co-owners of a Manhattan-based brokerage firm. The SEC alleges[...]
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