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 Chairman Clayton Announces Event for Main Street Investors in Chicago
August 05, 2019Securities and Exchange Commission Chairman Jay Clayton today announced an event for Main Street investors to be held in Chicago[...]
Read ArticleSEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud
August 01, 2019The Securities and Exchange Commission today charged Brixmor Property Group Inc., a publicly-traded real estate investment trust, and four former[...]
Read ArticleRobert A. Cohen, Cyber Unit Chief, to Leave SEC After 15 Years of Service
July 29, 2019The Securities and Exchange Commission today announced that Robert A. Cohen, Chief of the Division of Enforcement's Cyber Unit, will[...]
Read ArticleSEC Issues Agenda for July 29 Meeting of the Fixed Income Market Structure Advisory Committee
July 25, 2019The Securities and Exchange Commission today released the agenda for the July 29 meeting of the Fixed Income Market Structure[...]
Read ArticleFacebook to Pay $100 Million for Misleading Investors About the Risks It Faced From Misuse of User Data
July 24, 2019The Securities and Exchange Commission today announced charges against Facebook Inc. for making misleading disclosures regarding the risk of misuse[...]
Read ArticleEmily Westerberg Russell Named Chief Counsel of Division of Trading and Markets
July 23, 2019The Securities and Exchange Commission today announced that Emily Westerberg Russell has been named Chief Counsel of the Division of[...]
Read ArticleSEC Awards Half-Million Dollars to Overseas Whistleblower
July 23, 2019The Securities and Exchange Commission today announced a half-million dollar award to an overseas whistleblower whose expeditious reporting helped the[...]
Read ArticleSEC Charges Engine Manufacturing Company Executives With Accounting Fraud
July 19, 2019The Securities and Exchange Commission today charged the former chief executive officer of a Chicago-area engine manufacturing company and two[...]
Read ArticleSEC Charges Engine Manufacturing Company Executives With Accounting Fraud
July 19, 2019The Securities and Exchange Commission today charged the former chief executive officer of a Chicago-area engine manufacturing company and two[...]
Read ArticleSEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors
July 18, 2019The Securities and Exchange Commission today announced an emergency action charging two individuals with running a pump and dump scheme[...]
Read ArticleSEC Charges Portfolio Manager with Mispricing Fund Investments
July 18, 2019The Securities and Exchange Commission today announced settled administrative proceedings against Swapnil Rege, a North Brunswick, New Jersey portfolio manager[...]
Read ArticleSEC Charges Portfolio Manager with Mispricing Fund Investments
July 18, 2019The Securities and Exchange Commission today announced settled administrative proceedings against Swapnil Rege, a North Brunswick, New Jersey portfolio manager[...]
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