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.
Chandler Smith Costello Named Deputy Director for Public Affairs
September 09, 2019The Securities and Exchange Commission today announced Chandler Smith Costello has been named Deputy Director for the Office of Public[...]
Read ArticleSEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies
September 04, 2019The Securities and Exchange Commission and the Commodity Futures Trading Commission today announced that the Options Clearing Corporation (OCC) will[...]
Read ArticleSEC Names Monique Winkler as Associate Regional Director in San Francisco Office
September 03, 2019The Securities and Exchange Commission today announced that Monique C. Winkler has been named Associate Regional Director for enforcement in[...]
Read ArticleSEC Monitoring Impact of Hurricane Dorian on Capital Markets
August 30, 2019The Securities and Exchange Commission is closely monitoring the impact of Hurricane Dorian on investors and capital markets. The SEC divisions[...]
Read ArticleSEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal
August 29, 2019The Securities and Exchange Commission today announced it has filed charges and obtained a consented-to asset freeze against San Diego-based[...]
Read ArticleSEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme
August 29, 2019The Securities and Exchange Commission today charged Live Well Financial, Inc. and its CEO, Michael Hild, both of Richmond, Va.,[...]
Read ArticleSEC Awards More Than $1.8 Million to Whistleblower
August 29, 2019The Securities and Exchange Commission today announced an award of more than $1.8 million to a whistleblower whose information and[...]
Read ArticleSEC Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange
August 29, 2019The Securities and Exchange Commission today announced settled charges with Bitqyck Inc. and its founders, who allegedly defrauded investors in securities[...]
Read ArticleSEC Investor Advisory Committee to Meet on Sept. 19
August 29, 2019The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Sept. 19.The meeting will begin at 9:30 a.m.[...]
Read ArticleSEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud
August 27, 2019The Securities and Exchange Commission today charged a Pennsylvania investment adviser with operating an investment advisory fraud involving over $100[...]
Read ArticleRSM US LLP Charged With Violating Auditor Independence Rules
August 27, 2019The Securities and Exchange Commission today charged public accounting firm RSM US LLP with violations of the agency’s auditor independence[...]
Read ArticleFee Rate Advisory #1 for Fiscal Year 2020
August 23, 2019The Securities and Exchange Commission today announced that in fiscal year 2020 the fees that public companies and other issuers[...]
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