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 in “Solar Farm” Penny Stock Scheme
July 29, 2014The Securities and Exchange Commission today announced fraud charges against a penny stock company and its CEO linked to a[...]
Read ArticleHarbinger’s Former Chief Operating Officer Agrees to Settle Charges for Assisting Hedge Fund Scheme
July 28, 2014The Securities and Exchange Commission today announced that the former chief operating officer at Harbinger Capital Partners LLC has agreed[...]
Read ArticleSEC Charges Smith & Wesson With FCPA Violations
July 28, 2014The Securities and Exchange Commission today charged Smith & Wesson Holding Corporation with violating the Foreign Corrupt Practices Act (FCPA)[...]
Read ArticleCitigroup Business Unit Charged With Failing to Protect Confidential Subscriber Data While Operating Alternative Trading System
July 25, 2014The Securities and Exchange Commission today charged a Citigroup business unit operating an alternative trading system (ATS) with failing to[...]
Read ArticleSEC Charges Florida-Based Transfer Agent and Owner with Defrauding Investors
July 24, 2014The Securities and Exchange Commission today announced it has charged a Florida-based transfer agent and its owner with defrauding investors[...]
Read ArticleSEC Announces Additional Charges in Football-Related Boiler Room Scheme
July 24, 2014The Securities and Exchange Commission today announced a second round of charges against individuals behind a boiler room scheme that[...]
Read ArticleMorgan Stanley to Pay $275 Million for Misleading Investors in Subprime RMBS Offerings
July 24, 2014The Securities and Exchange Commission today charged three Morgan Stanley entities with misleading investors in a pair of residential mortgage-backed[...]
Read ArticleSEC Adopts Money Market Fund Reform Rules
July 23, 2014The Securities and Exchange Commission today adopted amendments to the rules that govern money market mutual funds. The amendments make[...]
Read ArticleSEC Charges Investor Relations Executive With Insider Trading While Preparing Clients’ Press Releases
July 22, 2014The Securities and Exchange Commission today charged a partner at a New York-based investor relations firm with insider trading on[...]
Read ArticleMark J. Flannery Named SEC Chief Economist and Director of Economic and Risk Analysis Division
July 21, 2014The Securities and Exchange Commission today announced it has named Mark J. Flannery as its chief economist and director of[...]
Read ArticleSEC Charges Penny Stock Company CEO and Purported Business Partner for Defrauding Investors With False Press Releases
July 18, 2014The Securities and Exchange Commission today charged a serial con artist and a penny stock company CEO with misleading investors[...]
Read ArticleSEC Charges Self-Described Bankers, Dishonest Brokers, and Microcap Company Executive in Pump-And-Dump Scheme
July 17, 2014The Securities and Exchange Commission today charged individuals who pocketed millions of dollars running an elaborate pump-and-dump scheme involving shares[...]
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