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.
Fee 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[...]
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 Article