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.
Executives 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[...]
Read ArticleSEC Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official
December 11, 2018The Securities and Exchange Commission today announced that Danae M. Serrano has been named Acting Ethics Counsel and Designated Agency[...]
Read ArticleSEC Charges The Hain Celestial Group with Internal Controls Failures
December 11, 2018The Securities and Exchange Commission today announced settled charges against a natural and organic food company stemming from weaknesses in[...]
Read ArticleSEC Charges Agria Corporation and Executive Chairman With Fraud
December 10, 2018A multinational agricultural company has agreed to pay $3 million to settle charges that it concealed substantial losses from investors through[...]
Read ArticleThree Broker-Dealers to Pay More Than $6 Million in Penalties for Providing Deficient Blue Sheet Data
December 10, 2018The Securities and Exchange Commission today announced that three broker-dealers have agreed to pay more than $6 million to settle[...]
Read ArticleSEC Announces Agenda and Panelists for the 37th Annual Small Business Forum
December 07, 2018The Securities and Exchange Commission today announced the agenda and panelists for the 2018 Government-Business Forum on Small Business Capital[...]
Read ArticleSEC Halts Alleged Insider Trading Ring Spanning Three Countries
December 06, 2018The Securities and Exchange Commission has filed insider trading charges against an IT contractor and two others he illegally tipped[...]
Read ArticleSEC Investor Advisory Committee to Meet on December 13
December 06, 2018The Securities and Exchange Commission will hold a meeting of its Investor Advisory Committee on Dec. 13, 2018. The meeting will begin[...]
Read ArticleShira Pavis Minton, Ethics Counsel, to Retire from the SEC After 20 Years of Federal Service
December 04, 2018The Securities and Exchange Commission today announced that Shira Pavis Minton, Ethics Counsel and Designated Agency Ethics Official, will be[...]
Read ArticleAaron Lipson, Associate Regional Director of Atlanta Office, to Leave Agency After 14 Years of Service
December 03, 2018The Securities and Exchange Commission today announced that Aaron Lipson, Associate Regional Director for enforcement matters in the Atlanta Regional[...]
Read ArticleSEC Adopts FAIR Act Rules Promoting Research Reports on Investment Funds
November 30, 2018The Securities and Exchange Commission today adopted rules and amendments designed to promote research on mutual funds, exchange‑traded funds, registered closed-end funds,[...]
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