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 BHP Billiton With Violating FCPA at Olympic Games
May 20, 2015The Securities and Exchange Commission today charged global resources company BHP Billiton with violating the Foreign Corrupt Practices Act (FCPA)[...]
Read ArticleSEC Chief of Staff Lona Nallengara to Leave Agency
May 19, 2015The Securities and Exchange Commission today announced that SEC Chief of Staff Lona Nallengara will be leaving the agency at[...]
Read ArticlePeter J. Curley, Associate Director in the Division of Trading and Markets, to Leave SEC
May 18, 2015The Securities and Exchange Commission today announced that Peter J. Curley, Associate Director for Clearance and Settlement in the Division[...]
Read ArticleSEC Charges Father and Son in $1.1 Million Insider Trading Scheme
May 14, 2015The Securities and Exchange Commission today charged a father and son in New York with conducting a serial insider trading[...]
Read ArticleSEC Charges Nationwide Life Insurance Company With Pricing Violations
May 14, 2015The Securities and Exchange Commission today charged Nationwide Life Insurance Company with routinely violating pricing rules in its daily processing[...]
Read ArticleSEC Names Wesley R. Bricker as Deputy Chief Accountant
May 14, 2015The Securities and Exchange Commission today announced the appointment of Wesley R. Bricker as a Deputy Chief Accountant overseeing the[...]
Read ArticleDeputy Chief Accountant Dan Murdock to Leave SEC
May 14, 2015The Securities and Exchange Commission today announced that Daniel Murdock, a deputy chief accountant overseeing the accounting group in the[...]
Read ArticleSEC Announces Fraud Charges Against ITT Educational Services
May 12, 2015The Securities and Exchange Commission today announced fraud charges against ITT Educational Services Inc., its chief executive officer Kevin Modany,[...]
Read ArticleSEC Sues Retirement Planners for Making False Claims to Investors
May 11, 2015The Securities and Exchange Commission today charged a self-described retirement planning firm and its principals with falsely telling customers that[...]
Read ArticleSEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers
May 08, 2015The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their[...]
Read ArticleDavid Grim Named as Director of the Division of Investment Management
May 08, 2015The Securities and Exchange Commission today announced that David Grim has been named as Director of the Division of Investment[...]
Read ArticleSEC Approves Pilot to Assess Tick Size Impact for Smaller Companies
May 06, 2015The Securities and Exchange Commission today approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority[...]
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