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 Former Panasonic Executives
December 18, 2018The Securities and Exchange Commission today charged two former senior executives of the U.S. subsidiary of Panasonic Corp. with knowingly[...]
Read ArticleSEC Publishes Two Reports on Credit Rating Agencies Showing Continued Focus on Compliance and Competition
December 18, 2018Credit rating agencies registered with the SEC continue to promote compliance by enhancing their policies, procedures, and internal controls in response[...]
Read ArticleDaniel Kahl Named Deputy Director of the Office of Compliance Inspections and Examinations
December 18, 2018The Securities and Exchange Commission today announced that Daniel Kahl has been named Deputy Director of the agency’s Office of[...]
Read ArticleSEC Solicits Public Comment on Earnings Releases and Quarterly Reports
December 18, 2018The Securities and Exchange Commission today published a request for comment soliciting input on the nature, content, and timing of[...]
Read ArticleScott W. Bauguess, Deputy Director of the Division of Economic and Risk Analysis, to Leave the Agency After a Decade of Service
December 17, 2018The Securities and Exchange Commission today announced that Scott W. Bauguess, Deputy Director of the Division of Economic and Risk[...]
Read ArticleBNY Mellon to Pay More Than $54 Million for Improper Handling of ADRs
December 17, 2018The Securities and Exchange Commission today announced that Bank of New York Mellon will pay more than $54 million to[...]
Read ArticleJeffrey S. Mooney Named Associate Director in the Office of Clearance and Settlement
December 14, 2018The Securities and Exchange Commission today announced that Jeffrey S. Mooney has been named Associate Director of the Office of Clearance[...]
Read ArticleSEC Charges Former New York Investment Advisor and Daughter With Conducting a Ponzi Scheme
December 13, 2018The Securities and Exchange Commission today charged a former Rockland County, New York-based investment adviser and his daughter with conducting[...]
Read ArticleSEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
December 13, 2018The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the[...]
Read ArticleJeffrey Minton, Office of the Chief Accountant Chief Counsel, to Retire from the SEC After 20 Years of Service
December 13, 2018The Securities and Exchange Commission today announced that Jeffrey Minton, Office of the Chief Accountant (OCA)'s Chief Counsel, will be[...]
Read ArticleExecutives Settle ICO Scam Charges
December 12, 2018Two former executives behind an allegedly fraudulent initial coin offering (ICO) that was stopped by the Securities and Exchange Commission[...]
Read ArticleThree Developers Settle Charges of Fraudulent EB-5 Offering
December 12, 2018The Securities and Exchange Commission today announced that three Houston-area developers have agreed to settle charges that they misused investor[...]
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