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 Stockbroker and Law Firm Managing Clerk in $5.6 Million Insider Trading Scheme
March 19, 2014View Chart of Trading Profits (pdf, 123 kb) The Securities and Exchange Commission today charged a stockbroker and a managing[...]
Read ArticleSEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers
March 18, 2014The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the[...]
Read ArticleSEC Charges CR Intrinsic Analyst with Insider Trading
March 13, 2014The Securities and Exchange Commission today charged a former analyst at an affiliate of hedge fund advisory firm S.A.C. Capital[...]
Read ArticleSEC Obtains Asset Freeze Against Promoter Behind Microcap Stock Scalping Scheme
March 13, 2014The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against a promoter behind a platform[...]
Read ArticleSEC Charges Lions Gate With Disclosure Failures While Preventing Hostile Takeover
March 13, 2014The Securities and Exchange Commission today charged motion picture company Lions Gate Entertainment Corp. with failing to fully and accurately[...]
Read ArticleSEC Announces Charges Against Brokers, Adviser, and Others Involved in Variable Annuities Scheme to Profit From Terminally Ill
March 13, 2014The Securities and Exchange Commission today announced enforcement actions against a pair of brokers, an investment advisory firm, and several[...]
Read ArticleSEC Proposes Rules for Systemically Important and Security-Based Swap Clearing Agencies
March 12, 2014The Securities and Exchange Commission voted today to propose new rules to enhance the oversight of clearing agencies that are[...]
Read ArticleSEC Charges Jefferies LLC With Failing to Supervise Its Mortgage-Backed Securities Desk During Financial Crisis
March 12, 2014The Securities and Exchange Commission today charged global investment bank and brokerage firm Jefferies LLC with failing to supervise employees[...]
Read ArticleSEC Charges Animal Feed Company and Top Executives in China and U.S. With Accounting Fraud
March 11, 2014The Securities and Exchange Commission today charged an animal feed company and top executives with conducting a massive accounting fraud[...]
Read ArticleSEC Launches Enforcement Cooperation Initiative for Municipal Issuers and Underwriters
March 10, 2014The Securities and Exchange Commission today announced a new cooperation initiative out of its Enforcement Division to encourage issuers and[...]
Read ArticleSEC Charges Five Executives and Finance Professionals Behind Fraudulent Bond Offering by International Law Firm
March 06, 2014The Securities and Exchange Commission today charged five executives and finance professionals with facilitating a $150 million fraudulent bond offering[...]
Read ArticleSEC Halts International Pyramid Scheme Being Promoted Through Facebook and Twitter
March 05, 2014The Securities and Exchange Commission today announced an emergency enforcement action to stop a fraudulent pyramid scheme by phony companies[...]
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