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 Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers
November 04, 2019The Securities and Exchange Commission today announced that it has voted to propose amendments to modernize the rules under the Investment Advisers Act[...]
Read ArticleSEC Announces Extension of Temporary Measure to Facilitate Cross-Border Implementation of the European Union’s MiFID II’s Research Provisions
November 04, 2019Today the staff of the U.S. Securities and Exchange Commission issued an extension of an Oct. 26, 2017 no-action letter it provided[...]
Read ArticleSEC Chairman Clayton, PCAOB Chairman Duhnke, and Members of SEC Staff Meet With Auditing Firm Representatives to Discuss Audit Quality in Emerging Economies and Markets
November 04, 2019The Securities and Exchange Commission today announced that SEC Chairman Jay Clayton, Public Company Accounting Oversight Board (PCAOB) Chairman William[...]
Read ArticleSEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints
November 04, 2019The Securities and Exchange Commission today filed an amended complaint against online auction portal Collectors Café and its CEO Mykalai[...]
Read ArticleSEC Charges International Security-Based Swaps Dealer That Targeted U.S. Investors
October 31, 2019The Securities and Exchange Commission today charged XBT Corp. SARL d/b/a First Global Credit, a Switzerland-based securities dealer, for offering[...]
Read ArticleSEC Issues Agenda for Nov. 4 Meeting of the Fixed Income Market Structure Advisory Committee
October 31, 2019(function($){ $(document).ready(function() { $(".submitcommentslink").each(function(idx, lnk) { $(lnk).click(function(e) { e.preventDefault(); $(".comment-form").submit(); }); }); }); })(jQuery); The Securities…
Read ArticleSEC to Host Veterans Day Program for Active Duty Service Members and Veterans
October 30, 2019The Securities and Exchange Commission will host a Veterans Day program on Tuesday, Nov. 12. The program will feature a conversation with[...]
Read ArticleNatasha Vij Greiner Named Associate Director in SEC’s Investment Adviser/Investment Company Examination Program
October 29, 2019The Securities and Exchange Commission today announced that Natasha Vij Greiner has been named Associate Director in its Office of Compliance[...]
Read ArticleSEC and Fordham University School of Law to Host Conference on Combating Community-Based Financial Fraud
October 28, 2019The Securities and Exchange Commission’s New York Regional Office and Fordham University School of Law will host a conference on[...]
Read ArticleU.S. Financial Regulatory Agencies Join the Global Financial Innovation Network
October 24, 2019The Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), and[...]
Read ArticleSEC Investor Advisory Committee to Meet on Nov. 7
October 22, 2019The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Nov. 7. The meeting will begin at 9:30[...]
Read ArticleSEC Proposes Amendments to Exemptive Applications Procedures
October 18, 2019The Securities and Exchange Commission today announced that it has voted to propose rule amendments to establish an expedited review[...]
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