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 Monitoring Impact of Hurricane Florence on Capital Markets
September 13, 2018The Securities and Exchange Commission is closely monitoring the impact of Hurricane Florence on investors and capital markets. “The SEC is[...]
Read ArticleBroker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data
September 13, 2018The Securities and Exchange Commission today announced that Convergex Execution Solutions LLC, now known as Cowen Execution Services LLC, will[...]
Read ArticleSEC Charges Hedge Fund Adviser With Short-and-Distort Scheme
September 12, 2018The Securities and Exchange Commission today charged a hedge fund adviser and his investment advisory firm with illegally profiting from[...]
Read ArticleSEC Uses Data Analysis to Detect Cherry-Picking By Broker
September 12, 2018The Securities and Exchange Commission today charged a New Jersey-based broker with misusing his access to customers’ brokerage accounts to[...]
Read ArticleUnited Technologies Charged With Violating FCPA
September 12, 2018The Securities and Exchange Commission today announced that Connecticut-based United Technologies Corporation will pay $13.9 million to resolve charges that[...]
Read ArticleElad Roisman Sworn In As SEC Commissioner
September 11, 2018Elad L. Roisman has been sworn into office as an SEC Commissioner by SEC Chairman Jay Clayton. Mr. Roisman was[...]
Read ArticleSEC Charges Digital Asset Hedge Fund Manager With Misrepresentations and Registration Failures
September 11, 2018The Securities and Exchange Commission today announced its first-ever enforcement action finding an investment company registration violation by a hedge[...]
Read ArticleSEC Charges ICO Superstore and Owners With Operating As Unregistered Broker-Dealers
September 11, 2018The Securities and Exchange Commission today announced that TokenLot LLC, a self-described “ICO Superstore,” and its owners will settle charges[...]
Read ArticleSEC Obtains Relief to Fully Reimburse Retail Investors Sold Unsuitable Product
September 11, 2018The Securities and Exchange Commission today announced it has obtained monetary relief that will fully reimburse retail investors for losses[...]
Read ArticleSEC Charges Two Brokers With Defrauding Customers
September 10, 2018The Securities and Exchange Commission charged two brokers for recommending excessive levels of trading that were costly for retail customers[...]
Read ArticleSEC Charges Microcap Fraudsters for Roles in Lucrative Market Manipulation Schemes
September 07, 2018The Securities and Exchange Commission today charged a group of 10 individuals and 10 associated entities for their participation in[...]
Read ArticleSEC Charges Real Estate Broker With FCPA Violations
September 06, 2018The Securities and Exchange Commission today announced settled FCPA charges against a New Jersey real estate broker arising out of[...]
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