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 Unregistered Securities Salesman for Selling Millions of Dollars in Oil-and-Gas Investments
May 15, 2014The Securities and Exchange Commission today charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments[...]
Read ArticleSEC Charges Rafferty Capital Markets With Illegally Facilitating Trades for Unregistered Firm
May 15, 2014The Securities and Exchange Commission today charged New York-based Rafferty Capital Markets with illegally facilitating trades for another firm that[...]
Read ArticleChief Accountant Paul Beswick to Leave SEC
May 15, 2014The Securities and Exchange Commission today announced that Chief Accountant Paul A. Beswick is leaving the agency to return to[...]
Read ArticleSEC Names Gina Talamona as Communications Director
May 14, 2014The Securities and Exchange Commission today announced that Gina Talamona has been named communications director. Ms. Talamona, who will report[...]
Read ArticleSEC Charges Three Sales Managers With Insider Trading Ahead of Major Acquisition
May 12, 2014The Securities and Exchange Commission today charged three former sales managers at San Diego-based Qualcomm Inc. with insider trading ahead[...]
Read ArticleThree Software Company Founders to Pay $5.8 Million to Settle Charges of Insider Trading Ahead of Sale
May 12, 2014The Securities and Exchange Commission today filed insider trading charges against three software company founders for taking unfair advantage of[...]
Read ArticleSEC Announces Charges and Asset Freeze Against Hedge Fund Advisory Firm Distributing Falsified Performance Results
May 07, 2014The Securities and Exchange Commission today announced fraud charges and an asset freeze against a New York-based investment advisory firm[...]
Read ArticleSEC Charges Toronto-Based Consultant and Four Others in Reverse Merger Schemes Involving China-Based Companies
May 05, 2014The Securities and Exchange Commission today charged a Toronto-based consultant and four associates with conducting illegal reverse merger schemes to[...]
Read ArticleSEC Charges Ohio-Based Investment Adviser and President for Fraudulently Hiding Account Shortfall
May 05, 2014The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Columbus, Ohio-based investment advisory firm[...]
Read ArticleSEC Issues Partial Stay of Conflict Minerals Rules
May 02, 2014The Securities and Exchange Commission today issued an order staying the effective date for compliance with the portions of Exchange[...]
Read ArticleChief Economist and Division of Economic and Risk Analysis Director Craig Lewis to Leave SEC
May 02, 2014The Securities and Exchange Commission today announced that Chief Economist and Division of Economic and Risk Analysis (DERA) Director Craig[...]
Read ArticleSEC Charges NYSE, NYSE ARCA, and NYSE MKT for Repeated Failures to Operate in Accordance With Exchange Rules
May 01, 2014The Securities and Exchange Commission today announced an enforcement action against the New York Stock Exchange and two affiliated exchanges[...]
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