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 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[...]
Read ArticleElizabeth McFadden Named Deputy General Counsel
February 04, 2019The Securities and Exchange Commission today announced that Elizabeth McFadden has been named Deputy General Counsel for General Law and[...]
Read ArticleSEC Charges Four Public Companies With Longstanding ICFR Failures
January 29, 2019The Securities and Exchange Commission today announced settled charges against four public companies for failing to maintain internal control over financial[...]
Read ArticleSEC Names Manisha Kimmel as Senior Policy Advisor to the Chairman on the Consolidated Audit Trail
January 29, 2019The Securities and Exchange Commission today announced that Manisha Kimmel will serve as Senior Policy Advisor for Regulatory Reporting to[...]
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