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 Charges Accountant and Friend in $6.2 Million Insider Trading Scheme
July 10, 2019The Securities and Exchange Commission today filed insider trading charges against an accountant and her friend, whom she illegally tipped[...]
Read ArticleCFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products
July 09, 2019The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) (together, the Commissions) have approved a joint[...]
Read ArticleCFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products
July 09, 2019The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) (together, the Commissions) have approved a joint[...]
Read ArticleAgencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule
July 09, 2019Five federal financial regulatory agencies announced on Tuesday that they adopted a final rule to exclude community banks from the[...]
Read ArticleSEC Announces August 13 Meeting of Small Business Capital Formation Advisory Committee
July 09, 2019The Securities and Exchange Commission today announced the August 13 meeting of its Small Business Capital Formation Advisory Committee. The[...]
Read ArticleJulie A. Erhardt, Deputy Chief Accountant, to Leave the SEC
July 09, 2019The Securities and Exchange Commission announced today that Julie A. Erhardt, Deputy Chief Accountant (Technology and Innovation) in the Office[...]
Read ArticleJulie A. Erhardt, Deputy Chief Accountant, to Leave the SEC
July 09, 2019The Securities and Exchange Commission announced today that Julie A. Erhardt, Deputy Chief Accountant (Technology and Innovation) in the Office[...]
Read ArticleAllison Herren Lee Sworn In As SEC Commissioner
July 09, 2019Allison Herren Lee was sworn into office on July 8 as an SEC Commissioner. Ms. Lee was nominated to the SEC by[...]
Read ArticleAllison Herren Lee Sworn In As SEC Commissioner
July 09, 2019Allison Herren Lee was sworn into office on July 8 as an SEC Commissioner. Ms. Lee was nominated to the SEC by[...]
Read ArticleSEC Proposes to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products
July 03, 2019The Securities and Exchange Commission (SEC) announced today that it has proposed to align the minimum margin required on security[...]
Read ArticleJohn Berry, Associate Regional Director in Los Angeles Office, to Leave Agency
July 03, 2019The Securities and Exchange Commission today announced that John W. Berry, Associate Regional Director for enforcement matters in the Los[...]
Read ArticleJohn Berry, Associate Regional Director in Los Angeles Office, to Leave Agency
July 03, 2019The Securities and Exchange Commission today announced that John W. Berry, Associate Regional Director for enforcement matters in the Los[...]
Read Article