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 Freezes Assets in International Manipulative Trading Scheme
June 20, 2019The Securities and Exchange Commission today announced charges against five foreign traders for executing illegal matched trades in the stock[...]
Read ArticleSEC Chairman Clayton Announces Events for Main Street Investors in Boston
June 19, 2019Securities and Exchange Commission Chairman Jay Clayton announced today two events for Main Street investors to be held in Boston[...]
Read ArticleWedbush to Pay More Than $8.1 Million for Improper Handling of ADRs
June 18, 2019The Securities and Exchange Commission today announced that Wedbush Securities Inc. will pay more than $8.1 million to settle charges[...]
Read ArticleSEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision
June 18, 2019The Securities and Exchange Commission adopted amendments to the auditor independence rules relating to the analysis that must be conducted[...]
Read ArticleSEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision
June 18, 2019The Securities and Exchange Commission adopted amendments to the auditor independence rules relating to the analysis that must be conducted[...]
Read ArticleSEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions
June 18, 2019The Securities and Exchange Commission today requested public comment on ways to simplify, harmonize, and improve the exempt offering framework[...]
Read ArticleSEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions
June 18, 2019The Securities and Exchange Commission today requested public comment on ways to simplify, harmonize, and improve the exempt offering framework[...]
Read ArticleSEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management
June 17, 2019The Securities and Exchange Commission today announced that Adam B. Glazer has been named Senior Advisor to the Director of[...]
Read ArticleKPMG Paying $50 Million Penalty for Illicit Use of PCAOB Data and Cheating on Training Exams
June 17, 2019The Securities and Exchange Commission today charged KPMG LLP with altering past audit work after receiving stolen information about inspections[...]
Read ArticleIndustrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs
June 14, 2019The Securities and Exchange Commission today announced that Industrial and Commercial Bank of China Financial Services LLC (ICBCFS), a wholly-owned[...]
Read ArticleSEC Announces 2019 Government-Business Forum to Be Held in Omaha
June 12, 2019The Securities and Exchange Commission today announced that it will host the 38th annual Government-Business Forum on August 14, 2019,[...]
Read ArticleSEC Updates List of Firms Using Inaccurate Information to Solicit Investors
June 10, 2019The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to[...]
Read Article