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 Technology Company Insider in California With Tipping Confidential Information Exploited by Hedge Funds
April 23, 2014The Securities and Exchange Commission today filed insider trading charges against a former accounting manager at Nvidia Corp. who tipped[...]
Read ArticleMauri Osheroff to Retire After Nearly 40 Years at SEC
April 23, 2014The Securities and Exchange Commission today announced that Mauri L. Osheroff, associate director for regulatory policy in the Division of[...]
Read ArticleSEC Charges a Former Biopharmaceutical Company Executive and Two Others with Insider Trading
April 21, 2014The Securities and Exchange Commission today charged a former biopharmaceutical company executive and two others with insider trading on confidential[...]
Read ArticleSEC Halts Pyramid Scheme Targeting Dominican and Brazilian Immigrants
April 17, 2014The Securities and Exchange Commission today announced that on Tuesday it filed charges against the Massachusetts-based operators of a large[...]
Read ArticleSEC Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants
April 17, 2014The Securities and Exchange Commission voted yesterday to propose new rules for security-based swap dealers and major security-based swap market[...]
Read ArticleSEC Charges Former BP Employee with Insider Trading During the Deepwater Horizon Oil Spill
April 17, 2014The Securities and Exchange Commission today charged a former 20-year employee of BP p.l.c. and a senior responder during the[...]
Read ArticleSEC Charges San Diego-Based Investment Adviser
April 15, 2014The Securities and Exchange Commission today announced charges against a San Diego-based investment advisory firm, its chief executive officer, chief[...]
Read ArticleSEC Names David Gottesman as Deputy Chief Litigation Counsel
April 15, 2014The Securities and Exchange Commission today announced the appointment of David J. Gottesman as deputy chief litigation counsel in the[...]
Read ArticleSEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank
April 14, 2014The Securities and Exchange Commission today announced another round of charges in its ongoing case against several individuals involved in[...]
Read ArticleAssessing Advisor Profitability: A Tricky Call for Independent Directors
April 11, 2014This event has now passed. If you’d like to register for similar events, visit mfdf.org. The Mutual Fund Directors Forum[...]
Read ArticleSEC Charges Hewlett-Packard With FCPA Violations
April 09, 2014The Securities and Exchange Commission today charged Hewlett-Packard with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries in[...]
Read ArticleSEC Announces Charges Against Honolulu Woman Defrauding Investors Through Social Media
April 08, 2014The Securities and Exchange Commission today announced fraud charges against a Honolulu woman posing as an investment banker and soliciting[...]
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