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SEC Charges Four Former Officers of Delaware Bank Holding Company With Disclosure Fraud
May 06, 2015The Securities and Exchange Commission today filed fraud charges against four former officers of Wilmington Trust for intentionally understating past[...]
Read ArticleSEC Announces Outreach Programs to Help Firms Comply With Regulation Systems Compliance and Integrity
May 05, 2015The Securities and Exchange Commission today announced it has opened registration for outreach programs to help firms comply with an[...]
Read ArticleSEC Announces Compliance Outreach Program Seminars for Investment Adviser and Investment Company Senior Officers
April 30, 2015The Securities and Exchange Commission today announced the schedule for Compliance Outreach Program regional seminars it is sponsoring in six[...]
Read ArticleSEC Proposes Rules to Require Companies to Disclose the Relationship Between Executive Pay and a Company’s Financial Performance
April 29, 2015The Securities and Exchange Commission today voted to propose rules to require companies to disclose the relationship between executive compensation[...]
Read ArticleSEC Proposes Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.
April 29, 2015The Securities and Exchange Commission today voted to propose rules governing the application of certain requirements to security-based swap transactions[...]
Read ArticleSEC Charges Santa Barbara-Based Hedge Fund Firm, Executives, and Auditor for Improper Expense Allocations
April 29, 2015The Securities and Exchange Commission today announced charges against a Santa Barbara, Calif.-based hedge fund advisory firm and two executives[...]
Read ArticleSEC Announces Award to Whistleblower in First Retaliation Case
April 28, 2015The Securities and Exchange Commission today announced a maximum whistleblower award payment of 30 percent of amounts collected in connection[...]
Read ArticleSEC Charges Issuer for Failing to Make Public Filings
April 22, 2015The Securities and Exchange Commission today charged W2007 Grace Acquisition I Inc., a real estate investment firm, with failing to[...]
Read ArticleSEC Announces Million-Dollar Whistleblower Award to Compliance Officer
April 22, 2015The Securities and Exchange Commission today announced an award of more than a million dollars to a compliance professional who[...]
Read ArticleFort Worth Regional Director David Woodcock to Leave SEC
April 20, 2015The Securities and Exchange Commission today announced that David Woodcock, Regional Director of the Fort Worth office and leader of[...]
Read ArticleSEC Charges BlackRock Advisors With Failing to Disclose Conflict of Interest to Clients and Fund Boards
April 20, 2015The Securities and Exchange Commission today charged BlackRock Advisors LLC with breaching its fiduciary duty by failing to disclose a[...]
Read ArticleSEC Announces Agenda for May 13 Meeting of the Equity Market Structure Advisory Committee
April 17, 2015The Securities and Exchange Commission today announced that its Equity Market Structure Advisory Committee will hold its first meeting on[...]
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