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.
Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors
September 17, 2019The Securities and Exchange Commission today instituted a settled order against three Raymond James entities for improperly charging advisory fees[...]
Read ArticleTwo Broker-Dealers to Pay $4.65 Million in Penalties for Providing Deficient Blue Sheet Data
September 16, 2019The Securities and Exchange Commission today announced that Stifel, Nicolaus & Co., Inc. has agreed to pay $2.7 million and BMO[...]
Read ArticleSEC Charges Prudential Subsidiaries For Misleading Funds They Advised, Generating Tens of Millions in Tax Benefits for Prudential
September 16, 2019The Securities and Exchange Commission today charged two subsidiaries of Prudential Financial Inc. with failing to disclose conflicts of interest[...]
Read ArticleSEC Charges Silicon Valley-Based Issuer With Misleading Disclosure Violations
September 16, 2019The Securities and Exchange Commission today announced that Marvell Technology Group, Ltd. will pay $5.5 million to settle charges that[...]
Read ArticleJames M. Daly, Division of Corporation Finance Associate Director, to Retire from the SEC After More Than 38 Years of Service
September 11, 2019The Securities and Exchange Commission today announced that James M. Daly, Division of Corporation Finance Associate Director, will retire at[...]
Read ArticleSEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan
September 09, 2019The Securities and Exchange Commission today voted to propose amendments to the national market system plan governing the Consolidated Audit[...]
Read ArticleChandler Smith Costello Named Deputy Director for Public Affairs
September 09, 2019The Securities and Exchange Commission today announced Chandler Smith Costello has been named Deputy Director for the Office of Public[...]
Read ArticleSEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies
September 04, 2019The Securities and Exchange Commission and the Commodity Futures Trading Commission today announced that the Options Clearing Corporation (OCC) will[...]
Read ArticleSEC Names Monique Winkler as Associate Regional Director in San Francisco Office
September 03, 2019The Securities and Exchange Commission today announced that Monique C. Winkler has been named Associate Regional Director for enforcement in[...]
Read ArticleSEC Monitoring Impact of Hurricane Dorian on Capital Markets
August 30, 2019The Securities and Exchange Commission is closely monitoring the impact of Hurricane Dorian on investors and capital markets. The SEC divisions[...]
Read ArticleSEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal
August 29, 2019The Securities and Exchange Commission today announced it has filed charges and obtained a consented-to asset freeze against San Diego-based[...]
Read ArticleSEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme
August 29, 2019The Securities and Exchange Commission today charged Live Well Financial, Inc. and its CEO, Michael Hild, both of Richmond, Va.,[...]
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