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 Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin
October 18, 2017The Securities and Exchange Commission today announced it is partnering with the Herb Kelleher Center for Entrepreneurship, Growth, and Renewal[...]
Read ArticleSEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin
October 18, 2017The Securities and Exchange Commission today announced it is partnering with the Herb Kelleher Center for Entrepreneurship, Growth, and Renewal[...]
Read ArticleRio Tinto, Former Top Executives Charged With Fraud
October 17, 2017The Securities and Exchange Commission today charged mining company Rio Tinto and two former top executives with fraud for inflating[...]
Read ArticleRio Tinto, Former Top Executives Charged With Fraud
October 17, 2017The Securities and Exchange Commission today charged mining company Rio Tinto and two former top executives with fraud for inflating[...]
Read ArticleSEC Announces Whistleblower Award of More Than a Million Dollars
October 12, 2017The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for[...]
Read ArticleSEC Announces Whistleblower Award of More Than a Million Dollars
October 12, 2017The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for[...]
Read ArticleSEC Announces Whistleblower Award of More Than a Million Dollars
October 12, 2017The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for[...]
Read ArticleLawyers Charged With Assisting a Microcap Fraud Scheme
October 11, 2017The Securities and Exchange Commission today charged two lawyers it alleges helped facilitate a microcap fraud scheme involving undisclosed “blank[...]
Read ArticleLawyers Charged With Assisting a Microcap Fraud Scheme
October 11, 2017The Securities and Exchange Commission today charged two lawyers it alleges helped facilitate a microcap fraud scheme involving undisclosed “blank[...]
Read ArticleSEC Files Charges in Snack Company Investment Scam
October 11, 2017The Securities and Exchange Commission today charged three individuals who defrauded investors in a company that falsely claimed to be[...]
Read ArticleSEC Files Charges in Snack Company Investment Scam
October 11, 2017The Securities and Exchange Commission today charged three individuals who defrauded investors in a company that falsely claimed to be[...]
Read ArticleSEC Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure
October 11, 2017The Securities and Exchange Commission today voted to propose amendments to modernize and simplify disclosure requirements for public companies, investment[...]
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