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.
John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency
July 03, 2019The Securities and Exchange Commission today announced that John W. Berry, Associate Regional Director for enforcement matters in the Los[...]
Read ArticleJohn Berry, Associate Regional Director in Los Angeles Office, to Leave Agency
July 03, 2019The Securities and Exchange Commission today announced that John W. Berry, Associate Regional Director for enforcement matters in the Los[...]
Read ArticleSEC Names Sagar Teotia As Chief Accountant
July 03, 2019The Securities and Exchange Commission today announced that Sagar Teotia has been named the agency’s Chief Accountant. As Chief Accountant,[...]
Read ArticleSEC Staff to Host July 18 Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements
July 02, 2019The Securities and Exchange Commission today announced that its Division of Corporation Finance will host a roundtable on July 18,[...]
Read ArticleSEC Staff to Host July 18 Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements
July 02, 2019The Securities and Exchange Commission today announced that its Division of Corporation Finance will host a roundtable on July 18,[...]
Read ArticleSEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month
July 01, 2019The Securities and Exchange Commission last week concluded its month of special events in honor of Lesbian, Gay, Bisexual and Transgender[...]
Read ArticleSEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month
July 01, 2019The Securities and Exchange Commission last week concluded its month of special events in honor of Lesbian, Gay, Bisexual and Transgender[...]
Read ArticleSEC Charges Investment Adviser With Fraud
July 01, 2019The Securities and Exchange Commission today charged Fieldstone Financial Management Group LLC and its principal Kristofor R. Behn, both of[...]
Read ArticleSEC Charges Investment Adviser With Fraud
July 01, 2019The Securities and Exchange Commission today charged Fieldstone Financial Management Group LLC and its principal Kristofor R. Behn, both of[...]
Read ArticleState Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses
June 27, 2019The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay over $88[...]
Read ArticleState Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses
June 27, 2019The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay over $88[...]
Read ArticleSEC Charges New Defendant in $43 Million Tribal Bonds Scheme
June 26, 2019The Securities and Exchange Commission today charged a Los Angeles man for his role in a fraudulent scheme to gain[...]
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