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.
Geoffrey Aronow, Chief Counsel, Office of International Affairs, to Leave SEC
June 27, 2014The Securities and Exchange Commission today announced that Geoffrey Aronow, the chief counsel and senior policy advisor in the Office[...]
Read ArticleSEC Announces Order for Tick Size Pilot Plan
June 25, 2014The Securities and Exchange Commission today announced that it has ordered the national securities exchanges and the Financial Industry Regulatory[...]
Read ArticleSEC Announces Fraud Charges Against Three Former Regions Bank Executives in Accounting Scheme
June 25, 2014The Securities and Exchange Commission today announced fraud charges against three former senior managers of Regions Bank for intentionally misclassifying[...]
Read ArticleSEC Charges Former Brokers with Trading Ahead of IBM-SPSS Acquisition
June 25, 2014The Securities and Exchange Commission today announced it has charged two additional brokers with trading on inside information ahead of[...]
Read ArticleSEC Adopts Cross-Border Security-Based Swap Rules
June 25, 2014The Securities and Exchange Commission today adopted the first of a series of rules and guidance on cross-border security-based swap[...]
Read ArticleSEC Obtains Court Order to Halt Fraudulent Bond Offering by City of Harvey, Ill.
June 25, 2014The Securities and Exchange Commission today obtained an emergency court order against a Chicago suburb and its comptroller to stop[...]
Read ArticleSEC Charges Hedge Fund Advisory Firm and Others in South Florida-Based Scheme to Misuse Investor Proceeds
June 23, 2014The Securities and Exchange Commission today charged a West Palm Beach, Fla.-based hedge fund advisory firm and its founder with[...]
Read ArticleSEC Charges Private Equity Firm With Pay-to-Play Violations Involving Political Campaign Contributions in Pennsylvania
June 20, 2014The Securities and Exchange Commission today charged a Philadelphia-area private equity firm with violating “pay-to-play” rules by continuing to receive[...]
Read ArticleCicely LaMothe Named Associate Director in the Division of Corporation Finance
June 18, 2014The Securities and Exchange Commission today announced that Cicely LaMothe has been named as an associate director in the agency's[...]
Read ArticleSEC Charges Hedge Fund Adviser With Conducting Conflicted Transactions and Retaliating Against Whistleblower
June 16, 2014The Securities and Exchange Commission today charged an Albany, N.Y.-based hedge fund advisory firm with engaging in prohibited principal transactions[...]
Read ArticleSEC Charges Four California Residents in $12 Million Insider Trading Scheme
June 13, 2014The Securities and Exchange Commission today charged four Northern California residents with insider trading in Ross Stores stock options based[...]
Read ArticleChicago-Area Attorney Charged After SEC Exam Spots Fraud in Real Estate Investment Offering
June 11, 2014The Securities and Exchange Commission today charged the founder of an investment advisory firm located in suburban Chicago with defrauding[...]
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