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 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[...]
Read ArticleSEC Charges UBS Subsidiary With Disclosure Violations and Other Regulatory Failures in Operating Dark Pool
January 15, 2015The Securities and Exchange Commission today charged a subsidiary of UBS with disclosure failures and other securities law violations related[...]
Read ArticleSEC Adopts Rules to Increase Transparency in Security-Based Swap Market
January 14, 2015The Securities and Exchange Commission today adopted two new sets of rules that will require security-based swap data repositories (SDRs)[...]
Read ArticleSEC Announces Members of New Equity Market Structure Advisory Committee
January 13, 2015The Securities and Exchange Commission today announced the members of a new Equity Market Structure Advisory Committee, which will focus[...]
Read ArticleSEC Charges Canadian Man With Conducting Fraudulent Trading Scheme
January 13, 2015The Securities and Exchange Commission today charged a man living in Ontario, Canada, with orchestrating a lucrative market manipulation scheme[...]
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