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 Announces Largest-Ever Whistleblower Award
September 22, 2014The Securities and Exchange Commission today announced an expected award of more than $30 million to a whistleblower who provided[...]
Read ArticleSEC Charges New York-Based Private Equity Fund Adviser With Misallocation Of Portfolio Company Expenses
September 22, 2014The Securities and Exchange Commission today charged a New York-based investment advisory firm with breaching its fiduciary duty to a[...]
Read ArticleSEC Charges Brooklyn Man for Facilitating Insider Trading Scheme Via Post-It Notes at Grand Central Terminal
September 19, 2014The Securities and Exchange Commission today charged a Brooklyn man with facilitating a $5.6 million insider trading scheme that typically[...]
Read ArticleJim Burns, Deputy Director of Trading and Markets, to Leave SEC
September 18, 2014The Securities and Exchange Commission today announced that James R. Burns, Deputy Director in the Division of Trading and Markets,[...]
Read ArticleSEC Charges Eight for Roles in Widespread Pump-and-Dump Scheme Involving California-Based Microcap Company
September 18, 2014The Securities and Exchange Commission today charged a ring of eight individuals for their roles in an alleged pump-and-dump scheme[...]
Read ArticleSEC Charges Tacoma, Wash.-Area Firm for Undisclosed Principal Transactions and Misleading Performance Advertisements
September 18, 2014The Securities and Exchange Commission today charged an investment advisory firm located outside Tacoma, Wash., with engaging in hundreds of[...]
Read ArticleFormer Hedge Fund Manager in Bay Area Charged With Taking Excess Management Fees to Make Lavish Purchases
September 17, 2014The Securities and Exchange Commission today announced charges against a former hedge fund manager accused of fraudulently taking excess management[...]
Read ArticleSEC Charges N.Y.-Based High Frequency Trading Firm With Violating Net Capital Rule For Broker-Dealers
September 17, 2014The Securities and Exchange Commission today charged a New York-based high frequency trading firm with violating the net capital rule[...]
Read ArticleSEC Obtains Asset Freeze Against Company in Turks and Caicos Islands Behind South Florida-Based Ponzi Scheme
September 16, 2014The Securities and Exchange Commission today announced an emergency asset freeze against a company located in Turks and Caicos Islands[...]
Read ArticleSEC Charges IT Employee at Law Firm With Insider Trading Ahead of Merger Announcements
September 16, 2014The Securities and Exchange Commission today charged an employee in an international law firm’s IT department with insider trading ahead[...]
Read ArticleSEC and SBA to Partner on Events on Small Business Capital Raising Under the Jumpstart Our Business Startups (JOBS) Act
September 16, 2014The Securities and Exchange Commission, in partnership with the U.S. Small Business Administration, announced today they will jointly host events[...]
Read ArticleSEC Sanctions 19 Firms and Individual Trader for Short Selling Violations in Advance of Stock Offerings
September 16, 2014The Securities and Exchange Commission today announced the latest sanctions in a continuing enforcement initiative uncovering certain hedge fund advisers[...]
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