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 Investor Advisory Committee to Hold Telephone Meeting on Sept. 5

August 08, 2019

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SEC Announces Agenda and Panelists for 2019 Small Business Forum in Omaha

August 07, 2019

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SEC Adopts Amendments to Codify Exemption to Credit Rating Agency Rule

August 07, 2019

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SEC Chairman Clayton Announces Event for Main Street Investors in Chicago

August 05, 2019

Securities and Exchange Commission Chairman Jay Clayton today announced an event for Main Street investors to be held in Chicago[...]

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SEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud

August 01, 2019

The Securities and Exchange Commission today charged Brixmor Property Group Inc., a publicly-traded real estate investment trust, and four former[...]

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Robert A. Cohen, Cyber Unit Chief, to Leave SEC After 15 Years of Service

July 29, 2019

The Securities and Exchange Commission today announced that Robert A. Cohen, Chief of the Division of Enforcement's Cyber Unit, will[...]

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SEC Issues Agenda for July 29 Meeting of the Fixed Income Market Structure Advisory Committee

July 25, 2019

The Securities and Exchange Commission today released the agenda for the July 29 meeting of the Fixed Income Market Structure[...]

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Facebook to Pay $100 Million for Misleading Investors About the Risks It Faced From Misuse of User Data

July 24, 2019

The Securities and Exchange Commission today announced charges against Facebook Inc. for making misleading disclosures regarding the risk of misuse[...]

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Emily Westerberg Russell Named Chief Counsel of Division of Trading and Markets

July 23, 2019

The Securities and Exchange Commission today announced that Emily Westerberg Russell has been named Chief Counsel of the Division of[...]

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SEC Awards Half-Million Dollars to Overseas Whistleblower

July 23, 2019

The Securities and Exchange Commission today announced a half-million dollar award to an overseas whistleblower whose expeditious reporting helped the[...]

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SEC Charges Engine Manufacturing Company Executives With Accounting Fraud

July 19, 2019

The Securities and Exchange Commission today charged the former chief executive officer of a Chicago-area engine manufacturing company and two[...]

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SEC Charges Engine Manufacturing Company Executives With Accounting Fraud

July 19, 2019

The Securities and Exchange Commission today charged the former chief executive officer of a Chicago-area engine manufacturing company and two[...]

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