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 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[...]
Read ArticleSEC 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[...]
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