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 Penalizes Morgan Stanley for Violating Market Access Rule
December 10, 2014The Securities and Exchange Commission today penalized Morgan Stanley & Co. LLC for violating the market access rule when it[...]
Read ArticleSEC Sanctions Operator of Bitcoin-Related Stock Exchange for Registration Violations
December 08, 2014The Securities and Exchange Commission today sanctioned a computer programmer for operating two online venues that traded securities using virtual[...]
Read ArticleSEC Sanctions Eight Audit Firms for Violating Auditor Independence Rules
December 08, 2014The Securities and Exchange Commission today sanctioned eight firms for violating auditor independence rules when they prepared the financial statements[...]
Read ArticleSEC Charges Virginia Beach-Based Bank Holding Company With Accounting Violations
December 05, 2014The Securities and Exchange Commission today charged a Virginia Beach-based bank holding company and its former chief financial officer with[...]
Read ArticleSEC Charges Montana Man in Pump-and-Dump Scheme Involving Virginia-Based Penny Stock Company
December 04, 2014The Securities and Exchange Commission today charged a penny stock promoter in Montana with orchestrating a fraudulent pump-and-dump scheme involving[...]
Read ArticleSEC Announces Fraud Charges Against Two Executives in Scheme Involving Fake Occupants at Senior Residences
December 03, 2014The Securities and Exchange Commission today announced fraud charges against two former top executives at a Wisconsin-based assisted living provider[...]
Read ArticleSEC Charges California Resident With Fraudulent Sales of Stock
December 02, 2014The Securities and Exchange Commission today charged the owner of several now-defunct investment entities with fraudulently selling shares of stock[...]
Read ArticleSEC Names Kevin Kelcourse as Associate Director for Exam Program in Boston
November 26, 2014The Securities and Exchange Commission today announced that it has named Kevin M. Kelcourse as the associate director for the[...]
Read ArticleSEC Charges HSBC’s Swiss Private Banking Unit With Providing Unregistered Services to U.S. Clients
November 25, 2014The Securities and Exchange Commission today charged HSBC’s Swiss-based private banking arm with violating federal securities laws by failing to[...]
Read ArticleSEC Charges Penny Stock Company Executives in New Jersey With Issuing False Press Releases to Inflate Stock Price
November 21, 2014The Securities and Exchange Commission today charged father-and-son executives at a New Jersey-based penny stock company for issuing false and[...]
Read ArticleSEC Charges CEO and Close Friend With Insider Trading Ahead of Company Sale
November 21, 2014The Securities and Exchange Commission today announced insider trading charges against a then-CEO and a close friend he provided with[...]
Read ArticleWedbush Securities and Two Officials Agree to Settle SEC Case
November 20, 2014The Securities and Exchange Commission today announced that Los Angeles-based broker-dealer Wedbush Securities agreed to settle a pending SEC case[...]
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