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.
Tracey 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[...]
Read ArticleSEC 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[...]
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