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.
Jason J. Burt Named Associate Regional Director for Enforcement in SEC’s Denver Office
March 14, 2019The Securities and Exchange Commission today announced that Jason J. Burt has been named the Associate Regional Director for enforcement[...]
Read ArticleWedbush Settles Failure to Supervise Charge
March 13, 2019The Securities and Exchange Commission announced today that Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to[...]
Read ArticleSEC Announces March 28 Meeting of Investor Advisory Committee
March 12, 2019The Securities and Exchange Commission today announced the agenda for the March 28 meeting of its Investor Advisory Committee. The[...]
Read ArticleFee Rate Advisory #2 for Fiscal Year 2019
March 12, 2019The Securities and Exchange Commission today announced that starting on April 16, 2019, the fee rates applicable to most securities[...]
Read ArticleSEC Charges Lumber Liquidators With Fraud
March 12, 2019The Securities and Exchange Commission today announced charges against Lumber Liquidators Holdings Inc. for making fraudulent misstatements to investors. The[...]
Read ArticleSEC Share Class Initiative Returning More Than $125 Million to Investors
March 11, 2019The Securities and Exchange Commission today announced settled charges against 79 investment advisers who will return more than $125 million[...]
Read ArticleMobile TeleSystems Settles FCPA Violations
March 06, 2019The Securities and Exchange Commission today announced that Russian telecommunications provider Mobile TeleSystems PJSC (MTS) will pay $100 million to resolve[...]
Read ArticleBB&T to Return More Than $5 Million to Retail Investors and Pay Penalty Relating to Directed Brokerage Arrangements
March 05, 2019The Securities and Exchange Commission today announced that BB&T Securities has agreed to return more than $5 million to retail[...]
Read ArticleSEC Celebrates African American History Month with Presentation by Award-Winning Filmmaker
March 01, 2019The Securities and Exchange Commission celebrated African American History Month with events in its Regional Offices and a presentation by[...]
Read ArticleSEC Names Gabriel Benincasa As Its First Chief Risk Officer
February 28, 2019The Securities and Exchange Commission today announced that Gabriel Benincasa has been named the Commission’s first Chief Risk Officer. This position[...]
Read ArticleSEC Modifies Timing for Filing Non-Public Form N-PORT Data to Align With Its Approach to Data Management and Cybersecurity
February 28, 2019The Commission today modified the submission deadlines for registered investment companies filing non-public monthly reports on Form N-PORT. Form N-PORT is[...]
Read ArticleSEC Names Vanessa Countryman Acting Secretary
February 26, 2019The Securities and Exchange Commission today announced that Vanessa Countryman has been named Acting Secretary. Ms. Countryman will replace Brent Fields,[...]
Read Article