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 Brings Charges in Edgar Hacking Case
January 15, 2019The Securities and Exchange Commission today announced charges against nine defendants for participating in a previously disclosed scheme to hack[...]
Read ArticleJPMorgan to Pay More Than $135 Million for Improper Handling of ADRs
December 26, 2018The Securities and Exchange Commission today announced that JPMorgan Chase Bank N.A. will pay more than $135 million to settle charges[...]
Read ArticleAgencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule
December 21, 2018Five federal financial regulatory agencies on Friday invited public comment on a proposal that would exclude certain community banks from[...]
Read ArticleMartha Miller Named Advocate for Small Business Capital Formation
December 21, 2018The Securities and Exchange Commission today announced that Martha Legg Miller has been named as the first Advocate for Small Business[...]
Read ArticleTwo Advisory Firms, CEO Charged With Mutual Fund Share Class Disclosure Violations
December 21, 2018The Securities and Exchange Commission today announced settled charges against two New York-based investment advisers and the CEO of one[...]
Read ArticleSEC Charges Audit Firm and Suspends Accountants for Deficient Audits
December 21, 2018The Securities and Exchange Commission today filed settled charges against national audit firm Crowe LLP, two of its partners, and two[...]
Read ArticleSEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions
December 21, 2018Earlier this year, significant new rules relating to research became effective in the European Union (EU). In an effort to assist[...]
Read ArticleSEC Charges Two Robo-Advisers With False Disclosures
December 21, 2018The Securities and Exchange Commission today instituted settled proceedings against two robo-advisers for making false statements about investment products and[...]
Read ArticleSEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities
December 20, 2018The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) today announced its 2019 examination priorities. OCIE publishes its[...]
Read ArticleSEC Adopts Transaction Fee Pilot for NMS Stocks
December 19, 2018The Securities and Exchange Commission today announced that it has voted to adopt new Rule 610T of Regulation NMS to[...]
Read ArticleSEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A
December 19, 2018The Securities and Exchange Commission adopted final rules to allow reporting companies to rely on the Regulation A exemption from[...]
Read ArticleSEC Charges Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors
December 19, 2018The Securities and Exchange Commission today announced charges against an additional 13 individuals and 10 companies for unlawfully selling securities[...]
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