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Investment 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[...]
Read ArticleSEC Announces 2015 Examination Priorities
January 13, 2015The Securities and Exchange Commission today announced its Office of Compliance Inspections and Examinations’ (OCIE) priorities for 2015 which focus[...]
Read ArticleSEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types
January 12, 2015The Securities and Exchange Commission today announced that two exchanges formerly owned by Direct Edge Holdings and since acquired by[...]
Read ArticleSEC Names Walter Jospin as Regional Director of Atlanta Office
January 08, 2015The Securities and Exchange Commission today named Walter E. Jospin as Regional Director of its Atlanta office, where he will[...]
Read ArticleSEC Announces Program to Facilitate Analysis of Corporate Financial Data
December 30, 2014The Securities and Exchange Commission today announced the launch of a pilot program to facilitate investor analysis and comparisons of[...]
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