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.
Investment Adviser Charged With Stealing Millions From Private Fund
March 28, 2019The Securities and Exchange Commission today revoked the registration of a Seattle area-based registered investment adviser and barred its principal[...]
Read ArticleSEC Charges New Jersey Man With Fradulently Causing Advisory Firm to Overbill Clients
March 28, 2019The Securities and Exchange Commission today filed charges against the former chief operating officer (COO) of a Commission-registered investment adviser[...]
Read ArticleSEC Names Danae M. Serrano as Ethics Counsel
March 26, 2019The Securities and Exchange Commission today announced that Danae M. Serrano has been named the agency’s Ethics Counsel. Ms. Serrano[...]
Read ArticleSEC Awards $50 Million to Two Whistleblowers
March 26, 2019The Securities and Exchange Commission today announced awards totaling $50 million to two whistleblowers whose high-quality information assisted the agency[...]
Read ArticleSEC Names Jeffrey Dinwoodie Senior Counsel and Policy Advisor for Market and Activities-Based Risk
March 25, 2019The Securities and Exchange Commission today announced that Jeffrey T. Dinwoodie has been appointed Senior Counsel and Policy Advisor for Market[...]
Read ArticleMerrill Lynch to Pay Over $8 Million for Improper Handling of ADRs
March 22, 2019The Securities and Exchange Commission today announced that Merrill Lynch, Pierce, Fenner & Smith Incorporated will pay over $8 million[...]
Read ArticleSEC Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds
March 20, 2019The Securities and Exchange Commission today voted to propose rule amendments to implement certain provisions of the Small Business Credit Availability[...]
Read ArticleSEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure
March 20, 2019The Securities and Exchange Commission today voted to adopt amendments to modernize and simplify disclosure requirements for public companies, investment advisers,[...]
Read ArticleJustin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office
March 18, 2019The Securities and Exchange Commission today announced that Justin C. Jeffries has been named the Associate Regional Director for enforcement[...]
Read ArticleSEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client
March 15, 2019The Securities and Exchange Commission today charged Talimco LLC, a registered investment adviser, and Grant Gardner Rogers, the former chief[...]
Read ArticleSEC Staff to Hold Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets
March 15, 2019The Securities and Exchange Commission today announced that its staff will host a public forum focusing on distributed ledger technology (DLT)[...]
Read ArticleSEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During “Clean Diesel” Emissions Fraud
March 15, 2019The Securities and Exchange Commission today charged Volkswagen AG, two of its subsidiaries, and its former CEO, Martin Winterkorn, for[...]
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