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 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[...]
Read ArticleTennessee-Based Animal Feed Company Agrees to Pay $18 Million to Settle Accounting Fraud Case
September 15, 2014The Securities and Exchange Commission today announced that a Tennessee-based animal feed company has agreed to pay back $18 million[...]
Read ArticleSEC Announces Creation of New Office Within its Division of Economic and Risk Analysis
September 11, 2014The Securities and Exchange Commission today announced the creation of a new office within the Division of Economic and Risk[...]
Read ArticleSEC Charges Bank Holding Company in Delaware with Improper Accounting and Disclosure of Past Due Loans
September 11, 2014The Securities and Exchange Commission today announced accounting and disclosure fraud charges against a Delaware-based bank holding company for failing[...]
Read ArticleSEC Announces Fraud Charges Against Biotech Company and Former Executive Who Failed to Report Insider Stock Sales
September 10, 2014The Securities and Exchange Commission today charged a Massachusetts-based biotech company and its former CEO with defrauding investors by failing[...]
Read ArticleSEC Announces Charges Against Corporate Insiders for Violating Laws Requiring Prompt Reporting of Transactions and Holdings
September 10, 2014The Securities and Exchange Commission today announced charges against 28 officers, directors, or major shareholders for violating federal securities laws[...]
Read ArticleSEC Charges Offshore Business and Two Individuals Behind Scheme to Conceal Ownership of Microcap Stocks
September 09, 2014The Securities and Exchange Commission today charged two individuals managing an offshore business intended to help clients evade U.S. securities[...]
Read ArticleSEC Names Victor Valdez As Enforcement Division’s Chief Operating Officer
September 08, 2014The Securities and Exchange Commission today announced that Victor J. Valdez has been named Chief Operating Officer and Managing Executive[...]
Read ArticleSEC Charges Minneapolis-Based Hedge Fund Manager With Bilking Investors and Portfolio Pumping
September 08, 2014The Securities and Exchange Commission today charged a Minneapolis-based hedge fund manager, his investment advisory firm, and an accomplice with[...]
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