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 Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements
May 10, 2019The Securities and Exchange Commission today proposed a package of rule amendments and interpretive guidance to improve the framework for[...]
Read ArticleSEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions
May 09, 2019The Securities and Exchange Commission today voted to propose amendments to the accelerated filer and large accelerated filer definitions. The[...]
Read ArticleSEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend
May 07, 2019The Securities and Exchange Commission today announced settled insider trading charges against a Nevada man who obtained confidential information about[...]
Read ArticleSEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud
May 03, 2019The Securities and Exchange Commission today charged a New Hampshire-based company and its former CEO with misleading investors about the[...]
Read ArticleSEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses
May 03, 2019The Securities and Exchange Commission voted to propose rule amendments to improve the information that investors receive regarding the acquisition[...]
Read ArticleAdam S. Aderton Named Co-Chief of the Asset Management Unit
May 02, 2019The Securities and Exchange Commission today announced that Adam S. Aderton has been named Co-Chief of the Division of Enforcement's[...]
Read ArticleSEC’s Office of the Advocate for Small Business Capital Formation to Host Roundtable to Kick Off National Small Business Week
April 30, 2019The Securities and Exchange Commission today announced that its Office of the Advocate for Small Business Capital Formation will host[...]
Read ArticleSEC Announces Fraud Charges in Ticket Resale Investment Scam
April 29, 2019The Securities and Exchange Commission today charged a New York City man with continuing a previously charged scheme, stealing millions of[...]
Read ArticleSEC Announces Members of Small Business Capital Formation Advisory Committee
April 25, 2019The Securities and Exchange Commission today announced the inaugural members of the Small Business Capital Formation Advisory Committee. The Committee will[...]
Read ArticleSEC Charges Truckload Freight Company With Accounting Fraud
April 25, 2019The Securities and Exchange Commission today charged Indianapolis-based Celadon Group Inc. with an accounting fraud that allowed the truckload freight[...]
Read ArticleSEC Staff Announces Agenda for May 31 FinTech Forum
April 24, 2019The Securities and Exchange Commission today announced the agenda for the forum that its staff is hosting on May 31[...]
Read ArticleSilicon Valley Company Settles Fraud Charge for Misstating Returns to Investors
April 19, 2019The Securities and Exchange Commission today announced that Prosper Funding LLC will pay a $3 million penalty for miscalculating and[...]
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