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 to Hold Cybersecurity Roundtable
February 14, 2014The Securities and Exchange Commission today announced that it will host a roundtable next month to discuss cybersecurity and the[...]
Read ArticleSEC Approves 2014 PCAOB Budget and Accounting Support Fee
February 14, 2014The Securities and Exchange Commission voted February 5 to approve the 2014 budget of the Public Company Accounting Oversight Board[...]
Read ArticleFee Rate Advisory #3 for Fiscal Year 2014
February 12, 2014The Securities and Exchange Commission today announced that starting on March 18, 2014, the fee rates applicable to most securities[...]
Read ArticleDavid Fredrickson Named Chief Counsel in the Division of Corporation Finance
February 12, 2014The Securities and Exchange Commission today announced that David Fredrickson has been named associate director and chief counsel in the[...]
Read ArticlePaul A. Leder Named as Director of SEC’s Office Of International Affairs
February 12, 2014The Securities and Exchange Commission today announced that Paul A. Leder has been named director of its Office of International[...]
Read ArticleSEC Names Rick Fleming as Investor Advocate
February 12, 2014The Securities and Exchange Commission today announced that Rick A. Fleming has been named as the first head of the[...]
Read ArticleTwo Hong Kong-Based Firms to Pay $11 Million for Insider Trading Ahead of Nexen Acquisition by Company in China
February 11, 2014The Securities and Exchange Commission today announced that two Hong Kong-based asset management firms whose accounts were frozen in a[...]
Read ArticleSEC Names Michael Maloney As New Chief Accountant in Enforcement Division
February 11, 2014The Securities and Exchange Commission today announced that Michael F. Maloney has been named the new chief accountant in the[...]
Read ArticleSEC Announces Fraud Charges Against Two Wall Street Traders Involved in Parking Scheme
February 04, 2014The Securities and Exchange Commission today announced charges against two Wall Street traders involved in a fraudulent “parking” scheme in[...]
Read ArticleSEC Publishes Draft Strategic Plan For Public Comment
February 03, 2014The Securities and Exchange Commission today published for public comment its Draft Strategic Plan that outlines the agency’s strategic goals[...]
Read ArticleSEC Seeks Stop Orders Against 20 Purported Mining Companies With Misleading Registration Statements
February 03, 2014The Securities and Exchange Commission today announced the filing of stop order proceedings against 20 purported mining companies believed to[...]
Read ArticleSEC Continues Microcap Fraud Crackdown, Proactively Suspends Trading in 255 Dormant Shell Companies
February 03, 2014The Securities and Exchange Commission today announced the latest actions in its microcap fraud-fighting initiative known as Operation Shell-Expel, suspending[...]
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