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 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[...]
Read ArticleSEC Charges Las Vegas-Based Transfer Agent With Disclosure Failures in Registration Forms
April 08, 2014The Securities and Exchange Commission today announced enforcement actions against two leaders at a Las Vegas-based transfer agent firm who[...]
Read ArticleSEC, Criminal Authorities Halt Florida-Based Ponzi Scheme Targeting Investors Through YouTube Videos
April 08, 2014The Securities and Exchange Commission today announced fraud charges and an asset freeze against the operators of a South Florida-based[...]
Read ArticleSEC Charges CVS With Misleading Investors and Committing Accounting Violations
April 08, 2014The Securities and Exchange Commission today charged CVS Caremark Corp. with misleading investors about significant financial setbacks and using improper[...]
Read ArticleSEC Announces Additional $150,000 Payment to Recipient of First Whistleblower Award
April 04, 2014The Securities and Exchange Commission today announced that the whistleblower who received the first award under the agency’s new whistleblower[...]
Read ArticleSEC Charges Owner of N.J.-Based Brokerage Firm With Manipulative Trading
April 04, 2014The Securities and Exchange Commission today charged the owner of a Holmdel, N.J.-based brokerage firm with manipulative trading of publicly[...]
Read ArticleSEC Seeks Comment on Investor Advisory Committee Recommendation Regarding Target Date Funds
April 03, 2014The Securities and Exchange Commission today announced that it is seeking comment on a recommendation by its Investor Advisory Committee[...]
Read ArticleSEC Charges Two Friends With Insider Trading Ahead of Impending Acquisition
April 03, 2014The Securities and Exchange Commission today charged two friends with insider trading on confidential information from an investment banker about[...]
Read ArticleSEC Charges Transamerica Financial Advisors With Improperly Calculating Advisory Fees and Overcharging Clients
April 03, 2014The Securities and Exchange Commission today announced charges against a St. Petersburg, Fla.-based financial services firm for improperly calculating advisory[...]
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