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 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[...]
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 Article