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 New York-Based Brokerage Firm for Ignoring Red Flags in Soft Dollar Scheme
December 26, 2013The Securities and Exchange Commission today announced sanctions against a New York-based brokerage firm for ignoring red flags and paying[...]
Read ArticleSEC Issues Annual Staff Reports on Credit Rating Agencies
December 24, 2013The Securities and Exchange Commission today issued its annual staff report on the findings of examinations of credit rating agencies[...]
Read ArticleSEC Charges Archer-Daniels-Midland Company With FCPA Violations
December 20, 2013The Securities and Exchange Commission today charged global food processor Archer-Daniels-Midland Company (ADM) for failing to prevent illicit payments made[...]
Read ArticleSEC Charges Woman and Stepson for Involvement in ZeekRewards Ponzi and Pyramid Scheme
December 20, 2013The Securities and Exchange Commission today announced charges against a woman and her stepson for their involvement in a North[...]
Read ArticleSEC Issues Staff Report on Public Company Disclosure
December 20, 2013The Securities and Exchange Commission today issued a staff report to Congress on its disclosure rules for U.S. public companies,[...]
Read ArticleSEC Charges Microsoft Senior Manager and Friend With Insider Trading in Advance of Company News
December 19, 2013The Securities and Exchange Commission today charged a senior portfolio manager at Microsoft Corporation and his friend and business partner[...]
Read ArticleFederal Financial Regulators Extend Comment Period for Proposed Policy Statement on Assessing Diversity Policies and Practices of Regulated Entities
December 19, 2013JOINT RELEASE Board of Governors of the Federal Reserve System Consumer Financial Protection Bureau Federal Deposit Insurance Corporation National Credit[...]
Read ArticleSEC Charges ConvergEx Subsidiaries With Fraud for Deceiving Customers About Commissions
December 18, 2013The Securities and Exchange Commission today announced fraud charges against three brokerage subsidiaries and two former employees of a global[...]
Read ArticleSEC Proposes Rules to Increase Access to Capital for Smaller Companies
December 18, 2013The Securities and Exchange Commission today voted to propose rules intended to increase access to capital for smaller companies. The[...]
Read ArticleSEC Announces Enforcement Results for FY 2013
December 17, 2013The Securities and Exchange Commission today announced that the agency’s enforcement actions in fiscal year 2013 resulted in a record[...]
Read ArticleSEC Charges Perpetrators of Prime Bank Schemes in Las Vegas and Switzerland
December 16, 2013The Securities and Exchange Commission today announced fraud charges against a company named with an acronym for “Make A Lot[...]
Read ArticleSEC to Hold Compliance Outreach Program for Investment Companies and Investment Advisers
December 13, 2013The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment[...]
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