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’s FY 2014 Enforcement Actions Span Securities Industry and Include First-Ever Cases
October 16, 2014The Securities and Exchange Commission today announced that in fiscal year 2014, new investigative approaches and the innovative use of[...]
Read ArticleSEC Charges New York-Based High Frequency Trading Firm With Fraudulent Trading to Manipulate Closing Prices
October 16, 2014The Securities and Exchange Commission today sanctioned a New York City-based high frequency trading firm for placing a large number[...]
Read ArticleSEC Announces Enforcement Action Against Former Wells Fargo Advisors Compliance Officer for Altering Document
October 15, 2014The Securities and Exchange Commission today announced an enforcement action against a former Wells Fargo Advisors compliance officer who allegedly[...]
Read ArticleSEC Announces Insider Trading Charges Against Former Financial Analyst at Pharmaceutical Company
October 14, 2014The Securities and Exchange Commission today announced insider trading charges against a Massachusetts man who allegedly tipped his friend with[...]
Read ArticleSEC Staff Issue Risk Alert and FAQs on Customer Sales of Securities
October 09, 2014The Securities and Exchange Commission today announced publication of a Risk Alert and FAQs to remind broker-dealers of their obligations[...]
Read ArticleSEC Charges Current and Former E*TRADE Subsidiaries With Improperly Selling Penny Stocks Through Unregistered Offerings
October 09, 2014The Securities and Exchange Commission today announced an enforcement action against current and former brokerage subsidiaries of E*TRADE Financial Corporation[...]
Read ArticleSEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors
October 01, 2014The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB) today announced the[...]
Read ArticleFee Rate Advisory #2 for Fiscal Year 2015
September 30, 2014When fiscal year 2015 starts on October 1, 2014, the Securities and Exchange Commission expects to be operating under a[...]
Read ArticleSEC Charges Two with Insider Trading on Pershing Square’s Announcement on Herbalife
September 30, 2014The Securities and Exchange Commission today announced charges against two individuals for insider trading on a prominent hedge fund manager’s[...]
Read ArticleTwo Former Wells Fargo Employees Charged With Insider Trading in Advance of Research Reports Containing Ratings Changes
September 29, 2014The Securities and Exchange Commission today announced insider trading charges against two former Wells Fargo employees involved in an alleged[...]
Read ArticleSEC Charges Bank of America With Securities Laws Violations in Connection With Regulatory Capital Overstatements
September 29, 2014The Securities and Exchange Commission today charged Bank of America Corporation with violating internal controls and recordkeeping provisions of the[...]
Read ArticleSEC Charges Two Florida Men With Defrauding Investors in Purported Television Network
September 29, 2014The Securities and Exchange Commission today announced charges against two Florida men for defrauding investors in a purported startup television[...]
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