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 Investment Adviser With Fraud
July 01, 2019The Securities and Exchange Commission today charged Fieldstone Financial Management Group LLC and its principal Kristofor R. Behn, both of[...]
Read ArticleSEC Charges Investment Adviser With Fraud
July 01, 2019The Securities and Exchange Commission today charged Fieldstone Financial Management Group LLC and its principal Kristofor R. Behn, both of[...]
Read ArticleState Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses
June 27, 2019The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay over $88[...]
Read ArticleState Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses
June 27, 2019The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay over $88[...]
Read ArticleSEC Charges New Defendant in $43 Million Tribal Bonds Scheme
June 26, 2019The Securities and Exchange Commission today charged a Los Angeles man for his role in a fraudulent scheme to gain[...]
Read ArticleChairman Clayton Highlights New Members of Executive Staff
June 26, 2019The Securities and Exchange Commission today released a full roster of the executive staff of Chairman Jay Clayton, including several[...]
Read ArticleChairman Clayton Highlights New Members of Executive Staff
June 26, 2019The Securities and Exchange Commission today released a full roster of the executive staff of Chairman Jay Clayton, including several[...]
Read ArticleSEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs
June 26, 2019The Securities and Exchange Commission today announced that Holli Heiles Pandol has been named Director of the agency's Office of[...]
Read ArticleSEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs
June 26, 2019The Securities and Exchange Commission today announced that Holli Heiles Pandol has been named Director of the agency's Office of[...]
Read ArticleSEC Names Bryan Wood as Deputy Chief of Staff
June 26, 2019The Securities and Exchange Commission today announced that Bryan Wood has been named the agency's Deputy Chief of Staff. Mr.[...]
Read ArticleSEC Names Sean Memon as Chief of Staff
June 26, 2019The Securities and Exchange Commission today announced that Sean Memon will become the agency’s Chief of Staff. Mr. Memon has[...]
Read ArticleSEC Chief of Staff Lucas Moskowitz to Leave the Agency
June 26, 2019The Securities and Exchange Commission today announced that SEC Chief of Staff Lucas Moskowitz will leave the agency in early[...]
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