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.
Former Company Officer Earns Half-Million Dollar Whistleblower Award for Reporting Fraud Case to SEC
March 02, 2015The Securities and Exchange Commission today announced a whistleblower award payout between $475,000 and $575,000 to a former company officer[...]
Read ArticleSEC Suspends Trading in 128 Dormant Shell Companies to Put Them Out of Reach of Microcap Fraudsters
March 02, 2015The Securities and Exchange Commission today announced it has suspended trading in 128 inactive penny stock companies to ensure they[...]
Read ArticleSEC Halts Ponzi-Like Scheme by Purported Venture Capital Fund Manager in Buffalo
February 27, 2015The Securities and Exchange Commission today charged a purported venture capital fund manager in Buffalo, N.Y., with fraudulently using money[...]
Read ArticleFee Rate Advisory #4 for Fiscal Year 2015
February 27, 2015Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to[...]
Read ArticleSEC Announces Agenda for March 4 Meeting of the Advisory Committee on Small and Emerging Companies
February 27, 2015The Securities and Exchange Commission today announced that the next meeting of its Advisory Committee on Small and Emerging Companies[...]
Read ArticleReadout of SEC Chair Mary Jo White’s Meeting with European Union Financial Services Commissioner Jonathan Hill
February 26, 2015Securities and Exchange Commission Chair Mary Jo White hosted a meeting this morning with European Union Financial Services Commissioner Jonathan[...]
Read ArticleSEC Salt Lake Office Director Karen Martinez to Retire From Public Service
February 26, 2015The Securities and Exchange Commission today announced that Karen L. Martinez, Regional Director of the Salt Lake office, is leaving[...]
Read ArticleSEC Charges Goodyear With FCPA Violations
February 24, 2015The Securities and Exchange Commission today charged Goodyear Tire & Rubber Company with violating the Foreign Corrupt Practices Act (FCPA)[...]
Read Article2015 Vigilant Compliance Investment Adviser Conference at the Four Seasons in Philadelphia
February 20, 2015Vigilant Compliance is hosting its 2nd Annual Investment Adviser conference-Luncheon at the Four Seasons hotel in Philadelphia, PA. Our industry-leading[...]
Read ArticleSEC Charges Brothers-in-Law in Louisiana With Insider Trading
February 19, 2015The Securities and Exchange Commission today announced insider trading charges against a former Fortune 500 company executive and his brother-in-law[...]
Read ArticleSEC Charges New York-Based Brokerage Firm and CEO With Committing Fraud During CDO Liquidation Auctions
February 19, 2015The Securities and Exchange Commission today charged a New York City-based brokerage firm and its CEO with fraudulently deceiving other[...]
Read ArticleSEC Halts Colorado-Based Pyramid Scheme
February 18, 2015The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against two operators of a Colorado-based[...]
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