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.
Office of International Affairs Director Paul A. Leder to Leave SEC
April 30, 2018The Securities and Exchange Commission today announced that Paul A. Leder, Director of the Office of International Affairs (OIA), will[...]
Read ArticlePanasonic Charged With FCPA and Accounting Fraud Violations
April 30, 2018The Securities and Exchange Commission today announced that Japan-based Panasonic Corp. will pay more than $143 million to resolve charges[...]
Read ArticleEric R. Werner Named Associate Regional Director for Enforcement in Fort Worth Office
April 25, 2018The Securities and Exchange Commission today announced that Eric R. Werner has been named the Associate Regional Director for Enforcement[...]
Read ArticleAltaba, Formerly Known as Yahoo!, Charged With Failing to Disclose Massive Cybersecurity Breach; Agrees To Pay $35 Million
April 24, 2018The Securities and Exchange Commission today announced that the entity formerly known as Yahoo! Inc. has agreed to pay a[...]
Read ArticleSEC Charges Additional Defendant in Fraudulent ICO Scheme
April 20, 2018The Securities and Exchange Commission today announced additional fraud charges stemming from an investigation of Centra Tech Inc.’s $32 million[...]
Read ArticleDouglas Scheidt, Associate Director and Chief Counsel in the Division of Investment Management, to Leave Agency After 32 Years of Public Service
April 20, 2018The Securities and Exchange Commission announced today that Douglas Scheidt, an Associate Director and the Chief Counsel in the Division[...]
Read ArticleSEC Proposes to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Investment Professionals
April 18, 2018The Securities and Exchange Commission today voted to propose a package of rulemakings and interpretations designed to enhance the quality[...]
Read ArticleFee Rate Advisory #3 for Fiscal Year 2018
April 17, 2018The Securities and Exchange Commission today announced that starting on May 22, 2018, the fee rates applicable to most securities[...]
Read ArticleSEC Unveils Public Service Announcement to Promote Background Checks on Investor.gov
April 16, 2018The Securities and Exchange Commission today unveiled a public service announcement (PSA) to encourage investors to check the background of[...]
Read ArticleSEC Staff to Host Roundtable on Market Structure for Thinly-Traded Securities
April 13, 2018The Securities and Exchange Commission today announced its staff will host a roundtable on April 23 that will address the[...]
Read ArticleSEC Awards Whistleblower More Than $2.1 Million
April 12, 2018The Securities and Exchange Commission today announced a whistleblower award of more than $2.1 million to a former company insider[...]
Read ArticleSEC Charges Texas Company, Principals in Multimillion Dollar Ponzi Scheme Targeting Seniors
April 09, 2018On April 6, 2018, the Securities and Exchange Commission charged two Texas companies and their principals in a $2.4 million[...]
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