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 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[...]
Read ArticleSEC Charges Four in California Insider Trading Ring
February 05, 2015The Securities and Exchange Commission today charged a stock research analyst, a corporate insider, and two others involved in a[...]
Read ArticleSEC Approves 2015 PCAOB Budget and Accounting Support Fee
February 04, 2015The Securities and Exchange Commission today voted to approve the 2015 budget of the Public Company Accounting Oversight Board (PCAOB)[...]
Read ArticleSEC Names David Grim as Acting Director of the Division of Investment Management
February 03, 2015The Securities and Exchange Commission today announced that David Grim has been named as Acting Director of the Division of[...]
Read ArticleSEC Alerts Investors, Industry on Cybersecurity
February 03, 2015The Securities and Exchange Commission today released publications that address cybersecurity at brokerage and advisory firms and provide suggestions to[...]
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