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 and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019
April 16, 2019The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for[...]
Read ArticleSara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management
April 15, 2019The Securities and Exchange Commission today announced that Sara Cortes and David P. Bartels have been named Deputy Chief Counsels[...]
Read ArticleSEC Charges Former Woodbridge Directors of Investment With Fraud
April 12, 2019The Securities and Exchange Commission today charged two former directors of investments at Woodbridge Group of Companies LLC for their roles[...]
Read ArticleSEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee
April 11, 2019The Securities and Exchange Commission today released the agenda for the April 15 meeting of the Fixed Income Market Structure[...]
Read ArticleSEC Charges Former SeaWorld Associate General Counsel With Insider Trading
April 09, 2019The Securities and Exchange Commission today charged a former senior lawyer at SeaWorld Entertainment Inc. with insider trading based on[...]
Read ArticleNew SEC Campaign Educates Investors on Where and How to Get Answers
April 08, 2019The Securities and Exchange Commission today unveiled a public service campaign to empower Main Street investors to take control of[...]
Read ArticleSEC Charges Transportation Company Executives With Accounting Fraud
April 03, 2019The Securities and Exchange Commission today charged the former CFO and two former employees of a publicly traded transportation company[...]
Read ArticleSEC Charges Former CEO of Silicon Valley Startup With Defrauding Investors
April 02, 2019The Securities and Exchange Commission today charged the founder and former chief executive of a Silicon Valley startup with defrauding[...]
Read ArticleAre You Prepared for Your Financial Future? Use the SEC’s Investor Preparedness Checklist to Find Out
April 01, 2019Are you prepared for your financial future? That’s the question the Securities and Exchange Commission's Office of Investor Education and[...]
Read ArticleSEC Charges Medical Device Company With FCPA Violations
March 29, 2019The Securities and Exchange Commission today announced that Fresenius Medical Care AG & Co KGaA (FMC) has agreed to pay[...]
Read ArticleThe Securities and Exchange Commission and the UK Financial Conduct Authority Sign Updated Supervisory Cooperation Arrangements
March 29, 2019The Securities and Exchange Commission and the United Kingdom (UK) Financial Conduct Authority (FCA) have today reaffirmed their commitment to[...]
Read ArticleSEC Charges College Official for Fraudulently Concealing Financial Troubles From Municipal Bond Investors
March 28, 2019The Securities and Exchange Commission today charged the former controller of a New York-based not-for-profit college with defrauding municipal securities[...]
Read Article