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 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[...]
Read ArticleSEC Announces Fraud Charges Against Purported Hedge Fund Manager
February 13, 2015The Securities and Exchange Commission today charged a purported hedge fund manager in New York City with stealing money from[...]
Read ArticlePamela C. Dyson Named SEC Chief Information Officer
February 12, 2015The Securities and Exchange Commission today announced that Pamela C. Dyson has been appointed as the SEC’s Chief Information Officer[...]
Read ArticleSEC Announces Agenda, Panelists for Proxy Voting Roundtable
February 12, 2015The Securities and Exchange Commission today announced the agenda and panelists for its February 19 roundtable on ways to improve[...]
Read ArticleSEC Charges Mutual Fund Adviser in Connection With Improper Handling of Fund Assets
February 12, 2015The Securities and Exchange Commission today charged an investment adviser to several alternative mutual funds for maintaining millions of dollars[...]
Read ArticleHeather Seidel Named Chief Counsel in SEC’s Division of Trading and Markets
February 11, 2015The Securities and Exchange Commission today announced that Heather Seidel has been named Chief Counsel for the SEC’s Division of[...]
Read ArticleSEC Announces Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender Offer
February 11, 2015The Securities and Exchange Commission today announced charges against an Atlanta resident accused of insider trading in the stock of[...]
Read ArticleSEC Announces Half-Million Dollar Clawback from CFOs of Silicon Valley Company That Committed Accounting Fraud
February 10, 2015The Securities and Exchange Commission today announced that two former CFOs have agreed to return nearly a half-million dollars in[...]
Read ArticleSEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme
February 10, 2015The Securities and Exchange Commission today announced that the former CEO of a global investment services firm’s brokerage subsidiary agreed[...]
Read ArticleSEC Proposes Rules for Hedging Disclosure
February 09, 2015The Securities and Exchange Commission today announced it has approved the issuance of proposed rules that would enhance corporate disclosure[...]
Read ArticleSEC Imposes Sanctions Against China-Based Members of Big Four Accounting Networks for Refusing to Produce Documents
February 06, 2015The Securities and Exchange Commission today imposed sanctions against four China-based accounting firms that had refused to turn over documents[...]
Read ArticleSEC Charges Chicago-Area Alternative Energy Company for Accounting and Disclosure Violations
February 05, 2015The Securities and Exchange Commission today charged a Chicago-area alternative energy company, its former CEO, and its CFO for accounting[...]
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