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 Alleged Insider Trading Ring Spanning Three Countries
December 06, 2018The Securities and Exchange Commission has filed insider trading charges against an IT contractor and two others he illegally tipped[...]
Read ArticleSEC Investor Advisory Committee to Meet on December 13
December 06, 2018The Securities and Exchange Commission will hold a meeting of its Investor Advisory Committee on Dec. 13, 2018. The meeting will begin[...]
Read ArticleShira Pavis Minton, Ethics Counsel, to Retire from the SEC After 20 Years of Federal Service
December 04, 2018The Securities and Exchange Commission today announced that Shira Pavis Minton, Ethics Counsel and Designated Agency Ethics Official, will be[...]
Read ArticleAaron Lipson, Associate Regional Director of Atlanta Office, to Leave Agency After 14 Years of Service
December 03, 2018The Securities and Exchange Commission today announced that Aaron Lipson, Associate Regional Director for enforcement matters in the Atlanta Regional[...]
Read ArticleSEC Adopts FAIR Act Rules Promoting Research Reports on Investment Funds
November 30, 2018The Securities and Exchange Commission today adopted rules and amendments designed to promote research on mutual funds, exchange‑traded funds, registered closed-end funds,[...]
Read ArticleTwo Celebrities Charged With Unlawfully Touting Coin Offerings
November 29, 2018The Securities and Exchange Commission today announced settled charges against professional boxer Floyd Mayweather Jr. and music producer Khaled Khaled,[...]
Read ArticleJina L. Choi, Regional Director of the SEC’s San Francisco Office, to Leave the Agency After Over 16 Years of Service
November 29, 2018The Securities and Exchange Commission today announced that Jina L. Choi, Director of the agency’s San Francisco Regional office, will[...]
Read ArticleSEC Charges Self-Described Promoter With Microcap Market Manipulation Scheme
November 28, 2018The Securities and Exchange Commission today charged a self-described penny stock promoter and an entity he controlled with orchestrating a[...]
Read ArticleKurt Gottschall Named Director of Denver Office
November 19, 2018The Securities and Exchange Commission today announced that Kurt L. Gottschall has been named Director of the Denver Regional Office.[...]
Read ArticleTwo ICO Issuers Settle SEC Registration Charges, Agree to Register Tokens as Securities
November 16, 2018The Securities and Exchange Commission today announced settled charges against two companies that sold digital tokens in initial coin offerings[...]
Read ArticleSEC Charges Giga Entertainment Media, Former Officers and Directors With Fraud in Pay-For-Download Campaign
November 15, 2018The Securities and Exchange Commission today charged Giga Entertainment Media Inc. and five of its former officers and directors—Gary Nerlinger, Jarret[...]
Read ArticleSEC Brings Additional Charges in New York Boiler Room Scheme Targeting Seniors
November 15, 2018The Securities and Exchange Commission today brought additional charges against a Long Island, New York-based boiler room previously sued for[...]
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