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 New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies
October 24, 2014The Securities and Exchange Commission today announced insider trading charges against a New Jersey man who generated nearly $700,000 in[...]
Read ArticleRengan Rajaratnam Agrees to Settle Insider Trading Charges
October 23, 2014The Securities and Exchange Commission today announced that former hedge fund manager Rajarengan “Rengan” Rajaratnam has agreed to pay more[...]
Read ArticleSix Federal Agencies Jointly Approve Final Risk Retention Rule
October 22, 2014JOINT RELEASE Board of Governors of the Federal Reserve System Department of Housing and Urban Development Federal Deposit Insurance Corporation [...]
Read ArticleOffice of Municipal Securities Director John Cross to Leave SEC
October 21, 2014The Securities and Exchange Commission today announced that John J. Cross III, Director of the Office of Municipal Securities, will[...]
Read ArticleSEC Names Marc Wyatt as Deputy Director of National Exam Program
October 20, 2014The Securities and Exchange Commission today announced that Marc Wyatt has been named Deputy Director of the agency's Office of[...]
Read ArticleAvailability of Staff Analysis on Reporting and Dissemination of Security-Based Swap Information
October 17, 2014The staff of the Securities and Exchange Commission today made available analyses of data on the reporting and dissemination of[...]
Read ArticleSEC Charges Staten Island Man With Conducting Fraudulent Offerings and Stealing Investor Funds
October 17, 2014The Securities and Exchange Commission today charged the operator of an online stock recommendation business with conducting several fraudulent securities[...]
Read ArticleSEC Announces Date for Annual Government-Business Forum on Small Business Capital Formation
October 16, 2014The Securities and Exchange Commission today announced that it will hold its annual Government-Business Forum on Small Business Capital Formation[...]
Read ArticleSEC’s FY 2014 Enforcement Actions Span Securities Industry and Include First-Ever Cases
October 16, 2014The Securities and Exchange Commission today announced that in fiscal year 2014, new investigative approaches and the innovative use of[...]
Read ArticleSEC Charges New York-Based High Frequency Trading Firm With Fraudulent Trading to Manipulate Closing Prices
October 16, 2014The Securities and Exchange Commission today sanctioned a New York City-based high frequency trading firm for placing a large number[...]
Read ArticleSEC Announces Enforcement Action Against Former Wells Fargo Advisors Compliance Officer for Altering Document
October 15, 2014The Securities and Exchange Commission today announced an enforcement action against a former Wells Fargo Advisors compliance officer who allegedly[...]
Read ArticleSEC Announces Insider Trading Charges Against Former Financial Analyst at Pharmaceutical Company
October 14, 2014The Securities and Exchange Commission today announced insider trading charges against a Massachusetts man who allegedly tipped his friend with[...]
Read Article