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.
Wesley R. Bricker, Chief Accountant, to Leave SEC
May 30, 2019The Securities and Exchange Commission today announced that Wesley R. Bricker, Chief Accountant, plans to leave the agency after more[...]
Read ArticleErin Schneider Named Director of San Francisco Office
May 28, 2019The Securities and Exchange Commission today announced that Erin E. Schneider has been named Director of the San Francisco Regional[...]
Read ArticleSEC Charges Investment Adviser With Fraud
May 28, 2019The Securities and Exchange Commission today charged investment adviser Stephen Brandon Anderson with defrauding clients by overcharging advisory fees of[...]
Read ArticleSEC Awards $4.5 Million to Whistleblower Whose Internal Reporting Led to Successful SEC Case and Related Action
May 24, 2019The Securities and Exchange Commission awarded more than $4.5 million to a whistleblower whose tip triggered the company to review[...]
Read ArticleSEC Awards $4.5 Million to Whistleblower Whose Internal Reporting Led to Successful SEC Case and Related Action
May 24, 2019The Securities and Exchange Commission awarded more than $4.5 million to a whistleblower whose tip triggered the company to review[...]
Read ArticleSEC, NASAA, and FINRA Issue Senior Safe Act Fact Sheet to Help promote Greater Reporting of Suspected Senior Financial Exploitation
May 23, 2019In recognition of the one-year anniversary of the passage of The Senior Safe Act, the Securities and Exchange Commission, the[...]
Read ArticleSEC Sues Alleged Perpetrator of Fraudulent Pyramid Scheme Promising Investors Cryptocurrency Riches
May 23, 2019The Securities and Exchange Commission filed a civil injunctive action against Daniel Pacheco, a resident of San Clemente, California, and[...]
Read ArticleSEC Seeks Emergency Relief to Halt Prominent New York Developer’s Ponzi-Like Real Estate Investment Scheme
May 23, 2019The Securities and Exchange Commission filed an emergency action charging Robert C. Morgan, a New York residential and commercial real[...]
Read ArticleSEC Obtains Emergency Order Halting Alleged Diamond-Related ICO Scheme Targeting Hundreds of Investors
May 21, 2019The Securities and Exchange Commission today announced it has obtained a court order halting an ongoing $30 million Ponzi scheme[...]
Read ArticleSEC Obtains Emergency Order Halting Alleged Diamond-Related ICO Scheme Targeting Hundreds of Investors
May 21, 2019The Securities and Exchange Commission today announced it has obtained a court order halting an ongoing $30 million Ponzi scheme[...]
Read ArticleSEC and CFTC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral Memorandum of Understanding Concerning Cross-Border Enforcement
May 20, 2019At the 44th Annual International Organization of Securities Commissions (IOSCO) Conference in Sydney, Australia, the Chairmen of the U.S. Securities[...]
Read ArticleJury Rules in SEC’s Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud
May 15, 2019Jurors in Manhattan federal court today returned a verdict in the Securities and Exchange Commission’s favor against a brokerage firm[...]
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