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 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[...]
Read ArticleRebecca Olsen Named Chief Counsel in the Office of Municipal Securities
April 02, 2014The Securities and Exchange Commission today announced that Rebecca J. Olsen has been named chief counsel in its Office of[...]
Read ArticleJessica Kane Named Deputy Director in the Office of Municipal Securities
April 02, 2014The Securities and Exchange Commission today announced that Jessica S. Kane has been named deputy director in its Office of[...]
Read ArticleSEC Charges Two Men With Insider Trading on Confidential Information From Their Wives
March 31, 2014The Securities and Exchange Commission today announced two separate cases against men who profited by insider trading on confidential information[...]
Read ArticleSEC Halts Pyramid Scheme Targeting Asian and Latino Communities
March 28, 2014The Securities and Exchange Commission today announced charges and asset freezes against the operators of a worldwide pyramid scheme targeting[...]
Read ArticleSEC Announces Fraud Charges Against Coal Company and CEO for False Disclosures About Management
March 27, 2014The Securities and Exchange Commission today announced fraud charges against a Seattle-headquartered coal company and its founder for making false[...]
Read ArticleNuts & Bolts of Being a Director
March 27, 2014Update: This event has now passed. Please contact us for upcoming event recommendations or visit upcoming events hosted by Mutual[...]
Read ArticleSEC Names Jeffrey Boujoukos as Associate Regional Director in Philadelphia Office
March 25, 2014The Securities and Exchange Commission today announced that G. Jeffrey Boujoukos has been named the associate regional director for enforcement[...]
Read ArticleSEC Announces Agenda, Panelists for Cybersecurity Roundtable
March 24, 2014The Securities and Exchange Commission today announced the agenda and panelists for its March 26 roundtable on the issues and[...]
Read ArticleStaff Analysis of Data and Academic Literature Related to Money Market Fund Reform
March 24, 2014The staff of the Securities and Exchange Commission today made available certain analyses of data and academic literature related to[...]
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