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 California Lawyer and Two Massachusetts Men Behind Scheme to Manipulate Stock of Sports Ticket Broker
November 06, 2014The Securities and Exchange Commission today charged an attorney in Orange County, Calif., and two men in Massachusetts behind a[...]
Read ArticleSEC Charges Allen Park, Mich. and Two Former City Leaders in Fraudulent Muni Bond Offering for Movie Studio Project
November 06, 2014The Securities and Exchange Commission today announced fraud charges against the City of Allen Park, Mich., and two former city[...]
Read ArticleSEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution
November 05, 2014The Securities and Exchange Commission today announced enforcement actions against 10 companies for failing to make the required disclosures about[...]
Read ArticleSEC Charges Two Canadian Citizens With Penny Stock Fraud Involving Tennessee Coal Mining Company
November 03, 2014The Securities and Exchange Commission today charged a pair of Canadian citizens with conducting an international microcap fraud scheme by[...]
Read ArticleSEC Sanctions 13 Firms for Improper Sales of Puerto Rico Junk Bonds
November 03, 2014The Securities and Exchange Commission today sanctioned 13 firms for violating a rule primarily designed to protect retail investors in[...]
Read ArticleSEC Charges California-Based Bio-Rad Laboratories With FCPA Violations
November 03, 2014The Securities and Exchange Commission today charged a clinical diagnostic and life science research company based in California with violating[...]
Read ArticleSEC Announces Fraud Charges Against New York Businessman
October 31, 2014The Securities and Exchange Commission today announced securities fraud charges accusing a New York businessman and his software company of[...]
Read ArticleSEC and FINRA Warn Investors About Penny Stock Scams Hyping Dormant Shell Companies
October 30, 2014The Securities and Exchange Commission’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) today issued[...]
Read ArticleSEC Announces Charges Against Investment Advisory Firm and Top Officials for Custody Rule Violations
October 29, 2014The Securities and Exchange Commission today announced charges against an investment advisory firm and three top officials for violating the[...]
Read ArticleSteven Levine Named Associate Director for Investment Adviser/Investment Company Exam Program in Chicago
October 28, 2014The Securities and Exchange Commission today announced that it has named Steven J. Levine as the Associate Director for the[...]
Read ArticleSEC Charges Texas-Based Layne Christensen Company With FCPA Violations
October 27, 2014The Securities and Exchange Commission today charged a global water management, construction, and drilling company headquartered in Texas with violating[...]
Read ArticleSEC Sanctions Florida-Based Auditor for Circumventing Rules
October 24, 2014The Securities and Exchange Commission today sanctioned a Florida-based auditor for violating federal laws and regulations requiring lead audit partners[...]
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