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 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[...]
Read ArticleTracey L. McNeil Named as SEC’s First Ombudsman
September 05, 2014The Securities and Exchange Commission today announced that Tracey L. McNeil has been selected as the first ombudsman for the[...]
Read ArticleSEC Names Brent J. Fields to Lead Office of the Secretary
September 05, 2014The Securities and Exchange Commission today announced that Brent J. Fields has been appointed as the agency’s Secretary, who is[...]
Read ArticleSEC Charges L.A.-Based Immigration Attorneys With Defrauding Investors Seeking U.S. Residency
September 03, 2014The Securities and Exchange Commission today charged a Los Angeles-based immigration attorney, his wife, and his law firm partner with[...]
Read ArticleHouston-Based Investment Advisory Firm and Co-Owners Charged With Failing to Disclose Conflict of Interest to Clients
September 02, 2014The Securities and Exchange Commission today announced fraud charges against a Houston-based investment advisory firm accused of recommending that clients[...]
Read ArticleFee Rate Advisory #1 for Fiscal Year 2015
August 29, 2014The Securities and Exchange Commission today announced that in fiscal year 2015 the fees that public companies and other issuers[...]
Read ArticleMartin Murphy, Examinations Director in SEC’s Los Angeles Office, to Retire After 36 Years of Public Service
August 29, 2014The Securities and Exchange Commission today announced that Martin Murphy, the Associate Regional Director for Examinations in the agency’s Los[...]
Read ArticleSEC Announces $300,000 Whistleblower Award to Audit and Compliance Professional Who Reported Company’s Wrongdoing
August 29, 2014The Securities and Exchange Commission today announced a whistleblower award of more than $300,000 to a company employee who performed[...]
Read ArticleSEC Charges Two Information Technology Executives With Mischaracterizing Resale Transactions to Increase Revenue
August 28, 2014The Securities and Exchange Commission today charged two executives at a Dallas-based information technology company with mischaracterizing an arrangement with[...]
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