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.
Petrobras Reaches Settlement With SEC for Misleading Investors
September 27, 2018The Securities and Exchange Commission today charged Brazilian oil-and-gas company Petróleo Brasileiro S.A. with misleading U.S. investors by filing false[...]
Read ArticleSEC Proposes Amendments to Codify Exemption to Credit Rating Agency Rule
September 26, 2018The Securities and Exchange Commission today announced that it has voted to propose rule amendments to codify an existing temporary[...]
Read ArticleSEC Charges Firm With Deficient Cybersecurity Procedures
September 26, 2018The Securities and Exchange Commission today announced that a Des Moines-based broker-dealer and investment adviser has agreed to pay $1[...]
Read ArticleSEC Charges Firm With Deficient Cybersecurity Procedures
September 26, 2018The Securities and Exchange Commission today announced that a Des Moines-based broker-dealer and investment adviser has agreed to pay $1[...]
Read ArticleSEC Charges Former CEO of Chilean-Based Chemical and Mining Company With FCPA Violations
September 25, 2018The Securities and Exchange Commission today announced that the former CEO of Chilean-based chemical and mining company Sociedad Química y[...]
Read ArticleSG Americas Securities Charged for Improper Handling of ADRs
September 25, 2018The Securities and Exchange Commission today announced that SG Americas Securities LLC will pay more than $800,000 to settle charges[...]
Read ArticleSEC Staff to Host Roundtable on Market Data and Market Access
September 24, 2018The Securities and Exchange Commission announced today that its Division of Trading and Markets will host a two-day roundtable on[...]
Read ArticleSEC Awards Almost $4 Million to Overseas Whistleblower
September 24, 2018The Securities and Exchange Commission today announced that it has awarded nearly $4 million to an overseas whistleblower whose tip[...]
Read ArticleSEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program
September 21, 2018The Securities and Exchange Commission today announced that an Illinois-based regional center, its CEO, and 37 affiliated limited partnerships have[...]
Read ArticlePublic Companies Charged With Failing to Comply With Quarterly Reporting Obligations
September 21, 2018The Securities and Exchange Commission today announced charges against five public companies for failing to provide financial statements that were[...]
Read ArticleSEC Staff to Host Nov. 15 Roundtable on the Proxy Process
September 21, 2018The Securities and Exchange Commission today announced that its staff will host a roundtable on Nov. 15 to hear investor, issuer, and other[...]
Read ArticleBusiness Services Company and Former CFO Charged With Accounting Fraud
September 20, 2018The Securities and Exchange Commission today charged the former chief financial officer of Barrett Business Services Inc. for his role in[...]
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