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 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[...]
Read ArticleSEC Charges 10 Individuals in Scheme to Sell Stock in Blank Check Companies Secretly Bound for Reverse Mergers
April 16, 2015The Securities and Exchange Commission today announced fraud charges against 10 individuals involved in a scheme to offer and sell[...]
Read ArticleSEC Charges New York-Based Financial Advisor With Stealing $20 Million From Customers
April 16, 2015The Securities and Exchange Commission today announced fraud charges against a New York City-based financial advisor accused of stealing at[...]
Read ArticleSEC Staff and FINRA Issue Report on National Senior Investor Initiative
April 15, 2015With the Social Security Administration estimating that each day for the next 15 years, an average of 10,000 Americans will[...]
Read ArticleSEC Halts Investment Scheme Targeting Military Personnel
April 14, 2015The Securities and Exchange Commission today announced fraud charges and an asset freeze against a man living in central Texas[...]
Read ArticleSEC Announces Fraud Charges Against Former Accounting Executive at Japanese Subsidiary
April 09, 2015The Securities and Exchange Commission today announced fraud charges against the former controller of a suburban Chicago company’s Japanese subsidiary[...]
Read ArticleSEC Names Marc Wyatt as Acting Director of the Office of Compliance Inspections and Examinations
April 09, 2015The Securities and Exchange Commission today announced that Marc Wyatt will serve as Acting Director of the agency’s Office of[...]
Read ArticleSEC Halts Microcap Scheme in South Florida
April 09, 2015The Securities and Exchange Commission today announced fraud charges and an asset freeze against the operators of a South Florida-based[...]
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