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 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[...]
Read ArticleSEC Charges Cognizant and Two Former Executives With FCPA Violations
February 15, 2019Cognizant Technology Solutions Corporation has agreed to pay $25 million to settle charges that it violated the Foreign Corrupt Practices[...]
Read ArticleSEC Extends Comment Period for Rulemaking Proposal Regarding Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
February 14, 2019The Securities and Exchange Commission today announced that it is extending for one month the comment period on the proposed rulemaking[...]
Read ArticleSEC Charges Former Senior Attorney at Apple With Insider Trading
February 13, 2019The Securities and Exchange Commission today filed insider trading charges against a former senior attorney at Apple whose duties included[...]
Read ArticleDeloitte Japan Charged With Violating Auditor Independence Rules
February 13, 2019The Securities and Exchange Commission today announced that Deloitte Touche Tohmatsu LLC (Deloitte Japan) will pay $2 million to settle[...]
Read ArticleSEC Charges Founder of Online Gaming Company Defrauding Investors
February 07, 2019The Securities and Exchange Commission today charged Robert Alexander with fraudulently raising approximately $9 million from more than 50 individuals[...]
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