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 Adopts Interpretive Guidance on Pay Ratio Rule
September 21, 2017The Securities and Exchange Commission has approved interpretive guidance to assist companies in their efforts to comply with the pay ratio[...]
Read ArticleTelecommunications Company Paying $965 Million For FCPA Violations
September 21, 2017Sweden-based telecommunications provider Telia Company AB has agreed to pay $965 million in a global settlement with the Securities and[...]
Read ArticleSEC Chairman Clayton Issues Statement on Cybersecurity
September 20, 2017SEC Chairman Jay Clayton today issued a statement highlighting the importance of cybersecurity to the agency and market participants, and[...]
Read ArticleThomas J. Butler Named an Associate Regional Director for Examinations in New York Regional Office
September 20, 2017The Securities and Exchange Commission today announced that Thomas J. Butler has been named an Associate Regional Director for the[...]
Read ArticleCEO Charged With Using Secret Accounts for Insider Trading in Company Stock
September 20, 2017The Securities and Exchange Commission today charged the former CEO of a Silicon Valley-based fiber optics company with insider trading[...]
Read ArticleCatherine McGuire to Retire After More Than 40 Years at the SEC
September 19, 2017The Securities and Exchange Commission today announced that Catherine McGuire, Counsel in the Division of Trading and Markets, is retiring[...]
Read ArticleKen C. Joseph, Head of Investment Adviser/Investment Company Examination Program in SEC’s New York Regional Office, to Leave SEC After 21 Years of Service
September 15, 2017The Securities and Exchange Commission today announced that Ken C. Joseph, Head of Investment Adviser/Investment Company Examination Program in the[...]
Read ArticleSunTrust Charged With Improperly Recommending Higher-Fee Mutual Funds
September 14, 2017The Securities and Exchange Commission today charged the investment services subsidiary of SunTrust Banks with collecting more than $1.1 million[...]
Read ArticleSEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of Hurricane Harvey
September 13, 2017The Securities and Exchange Commission is closely monitoring of the impact of Hurricane Irma on investors and capital markets, and[...]
Read ArticleCommission Statement on T+2 Implementation
September 11, 2017Last week, on September 5, 2017, the securities industry successfully implemented a shortened settlement cycle for most securities transactions, pursuant[...]
Read ArticleSEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
September 11, 2017The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening[...]
Read ArticleBridget Fitzpatrick Named Chief Litigation Counsel
September 07, 2017The Securities and Exchange Commission today announced the leadership of the agency’s trial unit. Bridget Fitzpatrick has been named Chief[...]
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