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 Halts Ponzi scheme Targeting Seniors and Small Business Owners
November 19, 2019The Securities and Exchange Commission today announced that it has filed an emergency action and obtained a temporary restraining order and asset[...]
Read ArticleSEC Awards Over $260,000 to Whistleblowers for Their Help in Spotting Securities Fraud
November 15, 2019The Securities and Exchange Commission today announced an award to three individuals who jointly submitted a tip alerting the agency[...]
Read ArticleMarie-Louise Huth Named Chief Counsel in Division of Economic and Risk Analysis
November 13, 2019The Securities and Exchange Commission today named Marie-Louise (Malou) Huth as Chief Counsel for the Division of Economic and Risk Analysis[...]
Read ArticleSEC Wins Jury Trial in Layering, Manipulative Trading Case
November 12, 2019Today, jurors in New York federal court returned a verdict in the Securities and Exchange Commission's favor against a trading[...]
Read ArticleSEC Issues Agenda for Nov. 12 Meeting of Small Business Capital Formation Advisory Committee
November 06, 2019The Securities and Exchange Commission today released the agenda for the Tuesday, Nov. 12 meeting of its Small Business Capital[...]
Read ArticleSEC Charges Adviser for Running Ponzi Scheme Targeting Haitian Community
November 06, 2019The Securities and Exchange Commission today filed charges against a New York investment adviser for operating a multimillion-dollar investment club[...]
Read ArticleSEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019
November 06, 2019The Securities and Exchange Commission’s Division of Enforcement today issued its annual report for fiscal year 2019. The report details[...]
Read ArticleSEC Proposes Amendments to Modernize Shareholder Proposal Rule
November 05, 2019The Securities and Exchange Commission today voted to propose amendments to modernize the rule that governs the process for shareholder proposals to[...]
Read ArticleSEC Proposes Rule Amendments to Improve Accuracy and Transparency of Proxy Voting Advice
November 05, 2019The Securities and Exchange Commission today voted to propose amendments to its rules governing proxy solicitations to enhance the quality[...]
Read ArticleSEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers
November 04, 2019The Securities and Exchange Commission today announced that it has voted to propose amendments to modernize the rules under the Investment Advisers Act[...]
Read ArticleSEC Announces Extension of Temporary Measure to Facilitate Cross-Border Implementation of the European Union’s MiFID II’s Research Provisions
November 04, 2019Today the staff of the U.S. Securities and Exchange Commission issued an extension of an Oct. 26, 2017 no-action letter it provided[...]
Read ArticleSEC Chairman Clayton, PCAOB Chairman Duhnke, and Members of SEC Staff Meet With Auditing Firm Representatives to Discuss Audit Quality in Emerging Economies and Markets
November 04, 2019The Securities and Exchange Commission today announced that SEC Chairman Jay Clayton, Public Company Accounting Oversight Board (PCAOB) Chairman William[...]
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