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 Releases
SEC Whistleblower Payouts and What It Means for You
June 08, 2020The SEC recently announced that they awarded the single largest individual reward ever – a $50 million whistleblower award to an individual[...]
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SEC Releases
SEC Releases an FAQ on COVID-19 Efforts
April 27, 2020The FAQ that the SEC released encompasses their efforts and their impacts for firms and funds due to COVID-19. The[...]
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SEC Releases
OCIE to Complete Inspections for Compliance with Regulation Best Interest and Form CRS
April 07, 2020The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released risk alerts regarding examinations for compliance with Regulation Best Interest[...]
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SEC Releases
SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity
January 28, 2020The SEC’s Office of Compliance Inspections and Examinations (OCIE) today issued examination observations related to cybersecurity and operational resiliency practices taken by market participants.[...]
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SEC Releases
SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
January 08, 2020The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities. OCIE publishes its[...]
Read ArticleFormer Congressman and Two Others Settle Insider Trading Charges
December 09, 2019The Securities and Exchange Commission announced today settlements with former U.S. Rep. Christopher Collins, his son Cameron Collins, and Stephen[...]
Read ArticleJefferies to Pay Nearly $4 Million for Improper Handling of ADRs
December 09, 2019The Securities and Exchange Commission today announced that broker-dealer Jefferies LLC will pay nearly $4 million to settle charges of[...]
Read ArticleSEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock
December 09, 2019A Colorado stock promoter and two of his companies agreed to pay $4.2 million to settle the U.S. Securities and Exchange[...]
Read ArticleSEC Charges Multinational Telecommunications Company With FCPA Violations
December 06, 2019The Securities and Exchange Commission today announced that Sweden-based Telefonaktiebolaget LM Ericsson was charged with engaging in a large-scale bribery[...]
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SEC Releases
SEC Proposes to Modernize Regulation of the Use of Derivatives by Registered Funds and Business Development Companies
December 06, 2019The Securities and Exchange Commission has voted to propose a new rule designed to enhance the regulation of the use[...]
Read ArticleSEC Charges Trucking Executives With Accounting Fraud
December 05, 2019The Securities and Exchange Commission today charged two former top executives of Indiana-based trucking company Celadon Group Inc. for their participation in an[...]
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