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.
Citigroup Business Unit Charged With Failing to Protect Confidential Subscriber Data While Operating Alternative Trading SystemJuly 25, 2014
The Securities and Exchange Commission today charged a Citigroup business unit operating an alternative trading system (ATS) with failing to[...]Read Article
SEC Charges Self-Described Bankers, Dishonest Brokers, and Microcap Company Executive in Pump-And-Dump SchemeJuly 17, 2014
The Securities and Exchange Commission today charged individuals who pocketed millions of dollars running an elaborate pump-and-dump scheme involving shares[...]Read Article