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 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[...]
Read ArticleJames McNamara Named as Deputy Chief Human Capital Officer in the Office of Human Resources
July 02, 2014The Securities and Exchange Commission today announced that James McNamara has been selected as the deputy chief human capital officer[...]
Read ArticleSEC Announces New Hires in the Office of Administrative Law Judges
June 30, 2014The Securities and Exchange Commission today announced that two new judges and three new attorneys will join the Office of[...]
Read ArticleEnforcement Division’s Chief Operating Officer Adam Storch to Leave SEC
June 27, 2014The Securities and Exchange Commission today announced that Adam D. Storch, chief operating officer and managing executive of the Enforcement[...]
Read ArticleGeoffrey 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[...]
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