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.
Mutual Funds + Investment Management Conference
February 07, 2020Conference Details: We are pleased to announce that we will be a Sponsor of the ICI 2020 Mutual Funds and Investment Management Conference in Palm[...]
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SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity
January 28, 2020The SEC’s Office of Compliance Inspections and Examinations (OCIE) today issued examination observations related to cybersecurity and operational resiliency practices taken by market participants.[...]
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SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
January 08, 2020The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities. OCIE publishes its[...]
Read ArticleFormer Congressman and Two Others Settle Insider Trading Charges
December 09, 2019The Securities and Exchange Commission announced today settlements with former U.S. Rep. Christopher Collins, his son Cameron Collins, and Stephen[...]
Read ArticleJefferies to Pay Nearly $4 Million for Improper Handling of ADRs
December 09, 2019The Securities and Exchange Commission today announced that broker-dealer Jefferies LLC will pay nearly $4 million to settle charges of[...]
Read ArticleSEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock
December 09, 2019A Colorado stock promoter and two of his companies agreed to pay $4.2 million to settle the U.S. Securities and Exchange[...]
Read ArticleSEC Charges Multinational Telecommunications Company With FCPA Violations
December 06, 2019The Securities and Exchange Commission today announced that Sweden-based Telefonaktiebolaget LM Ericsson was charged with engaging in a large-scale bribery[...]
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SEC Proposes to Modernize Regulation of the Use of Derivatives by Registered Funds and Business Development Companies
December 06, 2019The Securities and Exchange Commission has voted to propose a new rule designed to enhance the regulation of the use[...]
Read ArticleSEC Charges Trucking Executives With Accounting Fraud
December 05, 2019The Securities and Exchange Commission today charged two former top executives of Indiana-based trucking company Celadon Group Inc. for their participation in an[...]
Read ArticleSEC Releases Report on 38th Annual Small Business Forum
December 05, 2019The Securities and Exchange Commission today released a report on the 38th Annual Government-Business Forum on Small Business Capital Formation.[...]
Read ArticleSEC Charges Iconix Brand Group and Former Top Executives With Accounting Fraud
December 05, 2019The Securities and Exchange Commission today charged brand-management company Iconix Brand Group Inc. and three of its former top executives with fraud. Iconix[...]
Read ArticleSEC Issues Agenda for Dec. 11 Meeting of Small Business Capital Formation Advisory Committee
December 04, 2019The Securities and Exchange Commission today released the agenda for a Dec. 11 telephonic meeting of its Small Business Capital[...]
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