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 Adopts Credit Rating Agency Reform Rules
August 27, 2014The Securities and Exchange Commission today adopted new requirements for credit rating agencies to enhance governance, protect against conflicts of[...]
Read ArticleSEC Adopts Asset-Backed Securities Reform Rules
August 27, 2014The Securities and Exchange Commission today adopted revisions to rules governing the disclosure, reporting, and offering process for asset-backed securities[...]
Read ArticleSEC Announces Pilot Plan to Assess Stock Market Tick Size Impact for Smaller Companies
August 26, 2014The Securities and Exchange Commission today announced that the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) filed[...]
Read ArticleSEC Charges Investor Relations Firm Executive With Insider Trading Ahead of News Announcements By Clients
August 26, 2014The Securities and Exchange Commission today charged a director of market intelligence at a Manhattan-based investor relations firm with insider[...]
Read ArticleSEC Names James Schnurr As Chief Accountant
August 26, 2014The Securities and Exchange Commission today announced it has named James Schnurr as its chief accountant. Mr. Schnurr will begin[...]
Read ArticleCalifornia-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme
August 22, 2014The Securities and Exchange Commission today announced charges against a Newport Beach, Calif.-based telecommunications equipment company and two former executives[...]
Read ArticleBank of America Admits Disclosure Failures to Settle SEC Charges
August 21, 2014The Securities and Exchange Commission today announced a settlement in which Bank of America admits that it failed to inform[...]
Read ArticleChief Information Officer Thomas Bayer to Leave SEC
August 20, 2014The Securities and Exchange Commission today announced that its Chief Information Officer Thomas Bayer is planning to leave the agency[...]
Read ArticleSEC Announces Municipal Advisor Exam Initiative
August 19, 2014The Securities and Exchange Commission today announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an examination[...]
Read ArticleSEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition
August 18, 2014The Securities and Exchange Commission today charged a former bank executive in Massachusetts and his friend with insider trading in[...]
Read ArticleSEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking
August 15, 2014The Securities and Exchange Commission today announced charges against a Houston-based penny stock company and four individuals behind a pump-and-dump[...]
Read ArticleSEC Charges N.Y.-Based Brokerage Firm With Overcharging Customers in $18 Million Scheme
August 14, 2014The Securities and Exchange Commission today charged New York-based brokerage firm Linkbrokers Derivatives LLC for unlawfully taking secret profits of[...]
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