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 Oregon-Based Defense Contractor With FCPA Violations
April 08, 2015The Securities and Exchange Commission today charged Oregon-based FLIR Systems Inc. with violating the Foreign Corrupt Practices Act (FCPA) by[...]
Read ArticleGregg E. Berman, Associate Director in the Division of Trading and Markets, to Leave SEC
April 08, 2015The Securities and Exchange Commission today announced that Gregg E. Berman, Associate Director of the Office of Analytics and Research[...]
Read ArticleSEC Charges L.A.-Based Pacific West Capital Group With Fraud in Sale of Life Settlement Investments
April 07, 2015The Securities and Exchange Commission today charged Los Angeles-based Pacific West Capital Group Inc. and its owner Andrew B. Calhoun[...]
Read ArticleOCIE Director Andrew Bowden to Leave SEC
April 07, 2015The Securities and Exchange Commission today announced that Andrew Bowden, Director of the Office of Compliance Inspections and Examinations (OCIE),[...]
Read ArticleSEC Obtains Asset Freeze in Ponzi Scheme Involving Loans to Professional Athletes
April 07, 2015The Securities and Exchange Commission today announced fraud charges against a former professional football player and others, alleging they operated[...]
Read ArticleSEC Charges Firms and Individuals for Defrauding Investors in Cellular Licensing Scheme
April 06, 2015The Securities and Exchange Commission today charged 12 companies and six individuals with defrauding investors in a scheme involving applications[...]
Read ArticleSEC Charges Friends With Insider Trading on Acquisition of Cooper Tire
April 02, 2015The Securities and Exchange Commission today charged two longtime friends who illegally profited from insider trading on news of a[...]
Read ArticleSEC Charges North Carolina Executive With Fraud
April 01, 2015The Securities and Exchange Commission today charged the owner and chief executive of a North Carolina business with defrauding a[...]
Read ArticleSEC: Companies Cannot Stifle Whistleblowers in Confidentiality Agreements
April 01, 2015The Securities and Exchange Commission today announced its first enforcement action against a company for using improperly restrictive language in[...]
Read ArticleSEC Charges Former Polycom CEO With Hiding Perks From Investors
March 31, 2015The Securities and Exchange Commission today charged the former CEO of Silicon Valley-based technology firm Polycom Inc. with using nearly[...]
Read ArticleSEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From Investors
March 30, 2015The Securities and Exchange Commission today announced fraud charges against an investment adviser and her New York-based firms accused of[...]
Read ArticleSEC Charges New York-Based Brokerage Firm With Faulty Underwriting of Public Offering by China-Based Company
March 27, 2015The Securities and Exchange Commission today announced charges against a New York-based brokerage firm responsible for underwriting a public offering[...]
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