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 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[...]
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[...]
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