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.
BNY Mellon to Pay More Than $54 Million for Improper Handling of ADRs
December 17, 2018The Securities and Exchange Commission today announced that Bank of New York Mellon will pay more than $54 million to[...]
Read ArticleJeffrey S. Mooney Named Associate Director in the Office of Clearance and Settlement
December 14, 2018The Securities and Exchange Commission today announced that Jeffrey S. Mooney has been named Associate Director of the Office of Clearance[...]
Read ArticleSEC Charges Former New York Investment Advisor and Daughter With Conducting a Ponzi Scheme
December 13, 2018The Securities and Exchange Commission today charged a former Rockland County, New York-based investment adviser and his daughter with conducting[...]
Read ArticleSEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
December 13, 2018The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the[...]
Read ArticleJeffrey Minton, Office of the Chief Accountant Chief Counsel, to Retire from the SEC After 20 Years of Service
December 13, 2018The Securities and Exchange Commission today announced that Jeffrey Minton, Office of the Chief Accountant (OCA)'s Chief Counsel, will be[...]
Read ArticleExecutives Settle ICO Scam Charges
December 12, 2018Two former executives behind an allegedly fraudulent initial coin offering (ICO) that was stopped by the Securities and Exchange Commission[...]
Read ArticleThree Developers Settle Charges of Fraudulent EB-5 Offering
December 12, 2018The Securities and Exchange Commission today announced that three Houston-area developers have agreed to settle charges that they misused investor[...]
Read ArticleSEC Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official
December 11, 2018The Securities and Exchange Commission today announced that Danae M. Serrano has been named Acting Ethics Counsel and Designated Agency[...]
Read ArticleSEC Charges The Hain Celestial Group with Internal Controls Failures
December 11, 2018The Securities and Exchange Commission today announced settled charges against a natural and organic food company stemming from weaknesses in[...]
Read ArticleSEC Charges Agria Corporation and Executive Chairman With Fraud
December 10, 2018A multinational agricultural company has agreed to pay $3 million to settle charges that it concealed substantial losses from investors through[...]
Read ArticleThree Broker-Dealers to Pay More Than $6 Million in Penalties for Providing Deficient Blue Sheet Data
December 10, 2018The Securities and Exchange Commission today announced that three broker-dealers have agreed to pay more than $6 million to settle[...]
Read ArticleSEC Announces Agenda and Panelists for the 37th Annual Small Business Forum
December 07, 2018The Securities and Exchange Commission today announced the agenda and panelists for the 2018 Government-Business Forum on Small Business Capital[...]
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