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 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[...]
Read ArticleSEC Charges Seattle Firm and Owner With Misusing Client Assets for Vacation Home and Vintage Automobile
July 17, 2014The Securities and Exchange Commission today charged the owner of a Seattle-based investment advisory firm with fraudulently misusing client assets[...]
Read ArticleSEC Announces Charges in Scheme to Secretly Enable Lawbreakers to Run Microcap Company
July 16, 2014The Securities and Exchange Commission today announced fraud charges against four individuals and a microcap company for concealing from investors[...]
Read ArticleSEC Charges Ernst & Young With Violating Auditor Independence Rules in Lobbying Activities
July 14, 2014The Securities and Exchange Commission today charged Ernst & Young LLP with violations of auditor independence rules that require firms[...]
Read ArticleSEC, Massachusetts U.S. Attorney, and FBI Charge Five with Attempted Manipulation of Microcap Company
July 11, 2014The Securities and Exchange Commission, the U.S. Attorney for the District of Massachusetts, and the Federal Bureau of Investigation today[...]
Read ArticleSEC Charges Group of Amateur Golfers in Insider Trading Ring
July 11, 2014The Securities and Exchange Commission today charged a group of friends, most of them golfing buddies, who made more than[...]
Read ArticleSEC Charges California School District with Misleading Investors
July 08, 2014The Securities and Exchange Commission today charged a school district in California with misleading bond investors about its failure to[...]
Read ArticleSEC Names Thomas J. Krysa as Associate Regional Director in Denver Office
July 07, 2014The Securities and Exchange Commission today announced that it has named Thomas J. Krysa as the associate regional director for[...]
Read ArticleSEC Charges Five Traders with Short Selling Violations
July 02, 2014The Securities and Exchange Commission today charged five traders for committing short selling violations while trading for themselves and Worldwide[...]
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