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 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 ArticleDavid Peavler Named Director of Fort Worth Office
June 06, 2019The Securities and Exchange Commission today announced that David L. Peavler has been named Director of the Fort Worth Regional[...]
Read ArticleSEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant
June 05, 2019The Securities and Exchange Commission today filed a new fraud action against Longfin Corp. and its CEO for falsifying the company’s[...]
Read ArticleSEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals
June 05, 2019The Securities and Exchange Commission today voted to adopt a package of rulemakings and interpretations designed to enhance the quality[...]
Read ArticleMarshall Gandy Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program
June 04, 2019The Securities and Exchange Commission today announced that Marshall Gandy has been named Co-National Associate Director of the Investment Adviser/Investment[...]
Read ArticleSEC Charges Issuer With Conducting $100 Million Unregistered ICO
June 04, 2019The Securities and Exchange Commission today sued Kik Interactive Inc. for conducting an illegal $100 million securities offering of digital[...]
Read ArticleHedge Fund Adviser to Pay $5 Million for Compliance Failures Related to Valuation of Fund Assets
June 04, 2019The Securities and Exchange Commission today announced that a private fund manager in the mortgage-backed securities space has agreed to[...]
Read ArticleSEC Announces Enforcement and Investor Education Initiatives to Protect Teachers and Military Service Members
June 03, 2019The Securities and Exchange Commission today announced two new initiatives that will build on its ongoing efforts to protect retail investors. The[...]
Read ArticleSEC Announces Enforcement and Investor Education Initiatives to Protect Teachers and Military Service Members
June 03, 2019The Securities and Exchange Commission today announced two new initiatives that will build on its ongoing efforts to protect retail investors. The[...]
Read ArticleSEC Seeks Emergency Relief to Halt Ponzi Scheme Run From College Fraternity House
June 03, 2019The Securities and Exchange Commission today announced an emergency action charging a recent college graduate with orchestrating a Ponzi scheme that targeted[...]
Read ArticleSEC Seeks Emergency Relief to Halt Ponzi Scheme Run From College Fraternity House
June 03, 2019The Securities and Exchange Commission today announced an emergency action charging a recent college graduate with orchestrating a Ponzi scheme that targeted[...]
Read ArticleAhmed Abonamah Named Deputy Director of the Office of Municipal Securities
June 03, 2019The Securities and Exchange Commission today announced that Ahmed Abonamah has been named Deputy Director of the agency’s Office of[...]
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