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 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[...]
Read ArticleSEC Announces Charges Against Wedbush Securities and Two Officials for Market Access Violations
June 06, 2014The Securities and Exchange Commission today announced charges against a Los Angeles-based market access provider and two officials accused of[...]
Read ArticleSEC Charges New York-Based Dark Pool Operator With Failing to Safeguard Confidential Trading Information
June 06, 2014The Securities and Exchange Commission today charged a New York-based brokerage firm that operates a dark pool alternative trading system[...]
Read ArticleSEC Awards $875,000 to Two Whistleblowers Who Aided Agency Investigation
June 03, 2014The Securities and Exchange Commission today announced a whistleblower award of more than $875,000 to be split evenly between two[...]
Read ArticleSEC Charges Albany, N.Y.-Based Investment Adviser With Defrauding Clients
June 03, 2014The Securities and Exchange Commission today filed an emergency enforcement action to halt an ongoing fraud by an investment adviser[...]
Read ArticleSEC Charges Bitcoin Entrepreneur With Offering Unregistered Securities
June 03, 2014The Securities and Exchange Commission today charged the co-owner of two Bitcoin-related websites for publicly offering shares in the two[...]
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