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, 2014The Securities and Exchange Commission voted today to propose new rules to enhance the oversight of clearing agencies that are[...]
Read ArticleSEC Charges Jefferies LLC With Failing to Supervise Its Mortgage-Backed Securities Desk During Financial Crisis
March 12, 2014The Securities and Exchange Commission today charged global investment bank and brokerage firm Jefferies LLC with failing to supervise employees[...]
Read ArticleSEC Charges Animal Feed Company and Top Executives in China and U.S. With Accounting Fraud
March 11, 2014The Securities and Exchange Commission today charged an animal feed company and top executives with conducting a massive accounting fraud[...]
Read ArticleSEC Launches Enforcement Cooperation Initiative for Municipal Issuers and Underwriters
March 10, 2014The Securities and Exchange Commission today announced a new cooperation initiative out of its Enforcement Division to encourage issuers and[...]
Read ArticleSEC Charges Five Executives and Finance Professionals Behind Fraudulent Bond Offering by International Law Firm
March 06, 2014The Securities and Exchange Commission today charged five executives and finance professionals with facilitating a $150 million fraudulent bond offering[...]
Read ArticleSEC Halts International Pyramid Scheme Being Promoted Through Facebook and Twitter
March 05, 2014The Securities and Exchange Commission today announced an emergency enforcement action to stop a fraudulent pyramid scheme by phony companies[...]
Read ArticleSEC Announces Largest Monetary Sanction for Rule 105 Short Selling Violations
March 05, 2014The Securities and Exchange Commission today announced the largest-ever monetary sanction for Rule 105 short selling violations as a Long[...]
Read ArticleFee Rate Advisory #4 for Fiscal Year 2014
February 28, 2014Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to[...]
Read ArticleSEC Announces Charges Against Arizona-Based Private Equity Fund Manager in Expense Misallocation Scheme
February 25, 2014The Securities and Exchange Commission today announced charges against an Arizona-based private equity fund manager and his investment advisory firm[...]
Read ArticleSEC Charges Wall Street Investment Banker With Insider Trading in Former Girlfriend’s Account to Pay Child Support
February 21, 2014The Securities and Exchange Commission today announced an emergency action against a New York City-based investment banker charged with insider[...]
Read ArticleCredit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients
February 21, 2014The Securities and Exchange Commission today announced charges against Zurich-based Credit Suisse Group AG for violating the federal securities laws[...]
Read ArticleDivision of Trading And Markets Acting Director John Ramsay to Leave SEC
February 20, 2014The Securities and Exchange Commission today announced that John Ramsay, acting director of the Division of Trading and Markets, will[...]
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