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 Announces Charges Against Retirement Plan Custodian in Connection With Ponzi Scheme
June 16, 2015The Securities and Exchange Commission today announced charges against an Ohio-based self-directed IRA provider accused of ignoring red flags for[...]
Read ArticleInvestment Advisory Firm’s Former President Charged With Stealing Client Funds
June 15, 2015The Securities and Exchange Commission today announced fraud charges against a Washington D.C.-based investment advisory firm’s former president accused of[...]
Read ArticleSwiss Trader to Pay $2.8 Million to Settle Insider Trading Charges
June 15, 2015The Securities and Exchange Commission today announced that a Swiss trader has agreed to pay more than $2.8 million to[...]
Read ArticleSEC Publishes Request for Public Comment on Exchange-Traded Products
June 12, 2015The Securities and Exchange Commission today announced that it is seeking public comment to help inform its review of the[...]
Read ArticleSEC Charges Phony Hedge Fund Manager With Theft of Money Invested by Small Businesses
June 10, 2015The Securities and Exchange Commission today announced fraud charges against a New Jersey man accused of posing as a hedge[...]
Read ArticleSEC Charges Biotech Employee, Two Stockbrokers With Insider Trading on Nonpublic Information About Pharmaceutical Trials and Merger
June 09, 2015The Securities and Exchange Commission today charged three men living in California with insider trading in the stock and options[...]
Read ArticleTrader to Pay $1 Million for Short Selling Violations
June 09, 2015The Securities and Exchange Commission today announced that a trader residing in Canada has agreed to pay more than $1[...]
Read ArticleAgencies Issue Final Standards for Assessing Diversity Policies and Practices of Regulated Entities
June 09, 2015Federal agencies today issued a final interagency policy statement establishing joint standards for assessing the diversity policies and practices of[...]
Read ArticleSEC Names Richard R. Best as Regional Director of Salt Lake Office
June 08, 2015The Securities and Exchange Commission today named Richard R. Best as Regional Director of its Salt Lake office. He[...]
Read ArticleDaniel Gregus Named Associate Director for Broker-Dealer Exam Program in Chicago
June 05, 2015The Securities and Exchange Commission today announced that it has named Daniel R. Gregus as the Associate Director for the[...]
Read ArticleSEC Charges CSC and Former Executives With Accounting Fraud
June 05, 2015The Securities and Exchange Commission today charged Computer Sciences Corporation and former executives with manipulating financial results and concealing significant[...]
Read ArticleSEC Freezes Profits From Scheme to Manipulate Avon Stock
June 04, 2015The Securities and Exchange Commission today announced an emergency asset freeze of two U.S. brokerage accounts connected to schemes to[...]
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