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 Announces Kevin Zerrusen as Senior Advisor to the Chairman for Cybersecurity Policy
June 03, 2019The Securities and Exchange Commission today announced that Kevin A. Zerrusen will serve as Chairman Jay Clayton's Senior Advisor for Cybersecurity[...]
Read ArticleSEC Awards $3 Million to Joint Whistleblowers
June 03, 2019The Securities and Exchange Commission today announced an award of $3 million to whistleblowers whose tip launched the SEC's investigation[...]
Read ArticleSagar Teotia Named the SEC’s Acting Chief Accountant
May 30, 2019The Securities and Exchange Commission today named Sagar Teotia as the SEC's Acting Chief Accountant following the departure of Wesley[...]
Read ArticleWesley 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[...]
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