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 Seeks Stop Orders Against 20 Purported Mining Companies With Misleading Registration Statements
February 03, 2014The Securities and Exchange Commission today announced the filing of stop order proceedings against 20 purported mining companies believed to[...]
Read ArticleSEC Continues Microcap Fraud Crackdown, Proactively Suspends Trading in 255 Dormant Shell Companies
February 03, 2014The Securities and Exchange Commission today announced the latest actions in its microcap fraud-fighting initiative known as Operation Shell-Expel, suspending[...]
Read ArticleSEC Charges Two College Professors in Naked Short Selling Scheme
January 31, 2014The Securities and Exchange Commission today charged a pair of college professors in Tallahassee, Fla., with perpetrating a complex naked[...]
Read ArticleSEC Charges Manhattan-Based Private Equity Manager With Stealing $9 Million in Investor Funds
January 30, 2014The Securities and Exchange Commission today charged a Manhattan-based private equity manager and his firm with stealing $9 million from[...]
Read ArticleSEC Charges N.Y.-Based Money Manager and Firm for Misleading Advertisements
January 30, 2014The Securities and Exchange Commission today charged a New York-based money manager and his firm with making false claims through[...]
Read ArticleScottrade Agrees to Pay $2.5 Million and Admits Providing Flawed “Blue Sheet” Trading Data
January 29, 2014The Securities and Exchange Commission today charged Scottrade with failing to provide the agency with complete and accurate information about[...]
Read ArticleSEC Charges Chicago-Based Accountant With Insider Trading in Wife’s Account
January 29, 2014The Securities and Exchange Commission today announced charges against the former director of internal audit at a Chicago-based health care[...]
Read ArticleBarbara Lorenzen Named to Senior Position in National Exam Program
January 28, 2014The Securities and Exchange Commission today announced that Barbara S. Lorenzen has been promoted to a senior position in the[...]
Read ArticleSEC Issues Risk Alert on Investment Advisers’ Due Diligence Processes for Selecting Alternative Investments
January 28, 2014The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today issued a Risk Alert on the due[...]
Read ArticleSEC Charges Legg Mason Affiliate With Defrauding Clients
January 27, 2014The Securities and Exchange Commission today announced sanctions against a California-based investment adviser for concealing investor losses that resulted from[...]
Read ArticleSEC Charges KPMG With Violating Auditor Independence Rules
January 24, 2014The Securities and Exchange Commission today charged public accounting firm KPMG with violating rules that require auditors to remain independent[...]
Read ArticleFormer Oppenheimer Fund Manager Agrees to Settle Fraud Charges
January 22, 2014The Securities and Exchange Commission today announced that a former Oppenheimer & Co. portfolio manager has agreed to be barred[...]
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