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 Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting
January 30, 2015The Securities and Exchange Commission today announced that its Advisory Committee on Small and Emerging Companies will hold a public[...]
Read ArticleSEC Charges Stock-Based Lender With Selling Billions of Penny Stock Shares as Unregistered Broker-Dealer
January 29, 2015The Securities and Exchange Commission today charged a Chicago-area company that provides stock loans using equities as collateral, its two[...]
Read ArticleRobert E. Rice, Chief Counsel to SEC Chair, to Leave SEC
January 29, 2015The Securities and Exchange Commission today announced that Robert E. Rice, Chief Counsel to Chair Mary Jo White, will leave[...]
Read ArticleSEC Names Erin Schneider as Associate Regional Director in San Francisco Office
January 28, 2015The Securities and Exchange Commission today announced that Erin E. Schneider has been named the Associate Regional Director for enforcement[...]
Read ArticleSEC to Hold Roundtable on Proxy Voting
January 27, 2015The Securities and Exchange Commission today announced that it will host a roundtable on February 19 to explore ways to[...]
Read ArticleSEC Charges Oppenheimer With Securities Law Violations Related to Improper Penny Stock Sales
January 27, 2015The Securities and Exchange Commission today charged Oppenheimer & Co. with violating federal securities laws while improperly selling penny stocks[...]
Read ArticleSEC Charges Former Executive at Tampa-Based Engineering Firm With FCPA Violations
January 22, 2015The Securities and Exchange Commission today charged a former officer at a Tampa, Fla.-based engineering and construction firm with violating[...]
Read ArticleSEC Charges Investment Adviser and Manager in South Florida-Based Fraud
January 21, 2015The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Fort Lauderdale, Florida-based investment advisory[...]
Read ArticleInvestment Management Director Norm Champ to Leave SEC
January 21, 2015The Securities and Exchange Commission today announced that Norm Champ, Director of the Division of Investment Management, will leave the[...]
Read ArticleSEC Announces Charges Against Standard & Poor’s for Fraudulent Ratings Misconduct
January 21, 2015The Securities and Exchange Commission today announced a series of federal securities law violations by Standard & Poor’s Ratings Services[...]
Read ArticleSEC Announces Charges Against Attorneys and Auditors in Microcap Scheme Involving Purported Mining Companies
January 15, 2015The Securities and Exchange Commission today announced charges against attorneys, auditors, and others allegedly involved in a microcap scheme the[...]
Read ArticleFee Rate Advisory #3 for Fiscal Year 2015
January 15, 2015The Securities and Exchange Commission today announced that starting on Feb. 14, 2015, the fee rates applicable to most securities[...]
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