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 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 ArticleBrent J. Fields Named Associate Director in the Division of Investment Management
February 26, 2019The Securities and Exchange Commission today announced that Brent J. Fields has been named Associate Director of Disclosure Review and[...]
Read ArticleSEC Names S.P. Kothari as Chief Economist and Director of the Division of Economic and Risk Analysis
February 26, 2019The Securities and Exchange Commission today announced that S.P. Kothari has been named Chief Economist and Director of the agency’s[...]
Read ArticleSEC Halts South Florida Alternative Investments Scheme Targeting Retail Investors
February 26, 2019The Securities and Exchange Commission today announced fraud charges and an asset freeze against the operators of a South Florida-based investment fund[...]
Read ArticleGiles Cohen Named Acting Chief Counsel, Office of the Chief Accountant
February 21, 2019The Securities and Exchange Commission today announced that Giles Cohen has been named Acting Chief Counsel, Office of the Chief[...]
Read ArticleSEC Names James P. McNamara as Chief Human Capital Officer
February 21, 2019The Securities and Exchange Commission today announced that James P. McNamara has been named the agency’s Chief Human Capital Officer[...]
Read ArticleSEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud
February 20, 2019The Securities and Exchange Commission today announced charges against a broker-dealer, a transfer agent, and three individuals for their roles[...]
Read ArticleCompany Settles Unregistered ICO Charges After Self-Reporting to SEC
February 20, 2019The Securities and Exchange Commission today charged Gladius Network LLC with conducting an unregistered initial coin offering (ICO), which the[...]
Read ArticleSEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers
February 19, 2019The Securities and Exchange Commission voted to propose an expansion of a popular modernization reform that would permit investor views about[...]
Read ArticleSEC Files Charges in Elaborate Microcap Stock Fraud
February 15, 2019The Securities and Exchange Commission today announced charges against four individuals and related businesses for their roles in two microcap[...]
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