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.
Paul A. Leder Named as Director of SEC’s Office Of International Affairs
February 12, 2014The Securities and Exchange Commission today announced that Paul A. Leder has been named director of its Office of International[...]
Read ArticleSEC Names Rick Fleming as Investor Advocate
February 12, 2014The Securities and Exchange Commission today announced that Rick A. Fleming has been named as the first head of the[...]
Read ArticleTwo Hong Kong-Based Firms to Pay $11 Million for Insider Trading Ahead of Nexen Acquisition by Company in China
February 11, 2014The Securities and Exchange Commission today announced that two Hong Kong-based asset management firms whose accounts were frozen in a[...]
Read ArticleSEC Names Michael Maloney As New Chief Accountant in Enforcement Division
February 11, 2014The Securities and Exchange Commission today announced that Michael F. Maloney has been named the new chief accountant in the[...]
Read ArticleSEC Announces Fraud Charges Against Two Wall Street Traders Involved in Parking Scheme
February 04, 2014The Securities and Exchange Commission today announced charges against two Wall Street traders involved in a fraudulent “parking” scheme in[...]
Read ArticleSEC Publishes Draft Strategic Plan For Public Comment
February 03, 2014The Securities and Exchange Commission today published for public comment its Draft Strategic Plan that outlines the agency’s strategic goals[...]
Read ArticleSEC 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[...]
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