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 Hedge Fund Adviser With Deceiving Investors by Inflating Fund Performance
May 09, 2018The Securities and Exchange Commission today announced that it has charged New York-based investment adviser Premium Point Investments LP with[...]
Read ArticleSEC Levies Fraud Charges Against Texas-Based Municipal Advisor, Owner for Lying to School District
May 09, 2018The Securities and Exchange Commission today announced it charged a registered municipal advisor and its owner with defrauding a south[...]
Read ArticleHedge Fund Firm Charged for Asset Mismarking and Insider Trading
May 08, 2018The Securities and Exchange Commission today announced the hedge fund advisory firm Visium Asset Management LP has agreed to settle[...]
Read ArticleHedge Fund Firm Charged for Asset Mismarking and Insider Trading
May 08, 2018The Securities and Exchange Commission today announced the hedge fund advisory firm Visium Asset Management LP has agreed to settle[...]
Read ArticleSEC Names Jessica Kane Director of Office of Credit Ratings
May 07, 2018The Securities and Exchange Commission today announced that Jessica Kane has been named the Director of the agency’s Office of[...]
Read ArticleSEC Names Jessica Kane Director of Office of Credit Ratings
May 07, 2018The Securities and Exchange Commission today announced that Jessica Kane has been named the Director of the agency’s Office of[...]
Read ArticleDiane Blizzard, Associate Director of Rulemaking for the SEC’s Division of Investment Management, to Leave the Agency After 18 Years of Service
May 04, 2018The Securities and Exchange Commission today announced that Diane C. Blizzard, Associate Director of the agency’s Division of Investment Management,[...]
Read ArticleDiane Blizzard, Associate Director of Rulemaking for the SEC’s Division of Investment Management, to Leave the Agency After 18 Years of Service
May 04, 2018The Securities and Exchange Commission today announced that Diane C. Blizzard, Associate Director of the agency’s Division of Investment Management,[...]
Read ArticleSEC Launches Additional Investor Protection Search Tool
May 02, 2018The Securities and Exchange Commission today announced the launch of an additional online search feature that enables investors to research[...]
Read ArticleSEC Shuts Down $85 Million Ponzi Scheme and Obtains Asset Freeze
May 01, 2018The Securities and Exchange Commission today announced the unsealing of fraud charges against a Mississippi company and its principal who[...]
Read ArticleSEC Names Raquel Fox Director of the Office of International Affairs
May 01, 2018The Securities and Exchange Commission today announced that Raquel Fox will succeed Paul Leder as the Director of the Office[...]
Read ArticleSEC Enforcement Division Issues FAQs for Share Class Selection Disclosure Initiative
May 01, 2018The Securities and Exchange Commission’s Division of Enforcement today issued answers to frequently asked questions (FAQs) on the Share Class[...]
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