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 Issues Staff Report on Public Company Disclosure

December 20, 2013

The Securities and Exchange Commission today issued a staff report to Congress on its disclosure rules for U.S. public companies,[...]

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SEC Charges Microsoft Senior Manager and Friend With Insider Trading in Advance of Company News

December 19, 2013

The Securities and Exchange Commission today charged a senior portfolio manager at Microsoft Corporation and his friend and business partner[...]

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Federal Financial Regulators Extend Comment Period for Proposed Policy Statement on Assessing Diversity Policies and Practices of Regulated Entities

December 19, 2013

 JOINT RELEASE Board of Governors of the Federal Reserve System  Consumer Financial Protection Bureau  Federal Deposit Insurance Corporation  National Credit[...]

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SEC Charges ConvergEx Subsidiaries With Fraud for Deceiving Customers About Commissions

December 18, 2013

The Securities and Exchange Commission today announced fraud charges against three brokerage subsidiaries and two former employees of a global[...]

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SEC Proposes Rules to Increase Access to Capital for Smaller Companies

December 18, 2013

The Securities and Exchange Commission today voted to propose rules intended to increase access to capital for smaller companies. The[...]

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SEC Announces Enforcement Results for FY 2013

December 17, 2013

The Securities and Exchange Commission today announced that the agency’s enforcement actions in fiscal year 2013 resulted in a record[...]

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SEC Charges Perpetrators of Prime Bank Schemes in Las Vegas and Switzerland

December 16, 2013

The Securities and Exchange Commission today announced fraud charges against a company named with an acronym for “Make A Lot[...]

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SEC to Hold Compliance Outreach Program for Investment Companies and Investment Advisers

December 13, 2013

The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment[...]

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SEC Charges Merrill Lynch With Misleading Investors in CDOs

December 12, 2013

The Securities and Exchange Commission today charged Merrill Lynch with making faulty disclosures about collateral selection for two collateralized debt[...]

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Jennifer L. Klass Partner from Morgan Lewis will present “How it All Works”

October 11, 2013

Update: The event has now passed. Please contact us for upcoming event recommendations. On Friday October 18, 2013, Jennifer L.[...]

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IA Compliance – Fall Conference 2013

August 13, 2013

IA Watch’s 13th Annual Compliance Conference was located in Philadelphia, PA at The Westin Philadelphia. Below are the following things[...]

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SEC – 2013 Mutual Funds and Investment Management Conference

March 12, 2013

The SEC hosted an event called “2013 Mutual Funds and Investment Management Conference” located in Palm Desert, California. It was[...]

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