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 California-Based Bio-Rad Laboratories With FCPA Violations
November 03, 2014The Securities and Exchange Commission today charged a clinical diagnostic and life science research company based in California with violating[...]
Read ArticleSEC Announces Fraud Charges Against New York Businessman
October 31, 2014The Securities and Exchange Commission today announced securities fraud charges accusing a New York businessman and his software company of[...]
Read ArticleSEC and FINRA Warn Investors About Penny Stock Scams Hyping Dormant Shell Companies
October 30, 2014The Securities and Exchange Commission’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) today issued[...]
Read ArticleSEC Announces Charges Against Investment Advisory Firm and Top Officials for Custody Rule Violations
October 29, 2014The Securities and Exchange Commission today announced charges against an investment advisory firm and three top officials for violating the[...]
Read ArticleSteven Levine Named Associate Director for Investment Adviser/Investment Company Exam Program in Chicago
October 28, 2014The Securities and Exchange Commission today announced that it has named Steven J. Levine as the Associate Director for the[...]
Read ArticleSEC Charges Texas-Based Layne Christensen Company With FCPA Violations
October 27, 2014The Securities and Exchange Commission today charged a global water management, construction, and drilling company headquartered in Texas with violating[...]
Read ArticleSEC Sanctions Florida-Based Auditor for Circumventing Rules
October 24, 2014The Securities and Exchange Commission today sanctioned a Florida-based auditor for violating federal laws and regulations requiring lead audit partners[...]
Read ArticleSEC Charges New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies
October 24, 2014The Securities and Exchange Commission today announced insider trading charges against a New Jersey man who generated nearly $700,000 in[...]
Read ArticleRengan Rajaratnam Agrees to Settle Insider Trading Charges
October 23, 2014The Securities and Exchange Commission today announced that former hedge fund manager Rajarengan “Rengan” Rajaratnam has agreed to pay more[...]
Read ArticleSix Federal Agencies Jointly Approve Final Risk Retention Rule
October 22, 2014JOINT RELEASE Board of Governors of the Federal Reserve System Department of Housing and Urban Development Federal Deposit Insurance Corporation [...]
Read ArticleOffice of Municipal Securities Director John Cross to Leave SEC
October 21, 2014The Securities and Exchange Commission today announced that John J. Cross III, Director of the Office of Municipal Securities, will[...]
Read ArticleSEC Names Marc Wyatt as Deputy Director of National Exam Program
October 20, 2014The Securities and Exchange Commission today announced that Marc Wyatt has been named Deputy Director of the agency's Office of[...]
Read Article