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 ITG With Misleading Dark Pool Subscribers
November 07, 2018The Securities and Exchange Commission today announced that ITG Inc. and its affiliate AlterNet Securities Inc. have agreed to pay[...]
Read ArticleCitibank to Pay More Than $38 Million for Improper Handling of ADRs
November 07, 2018The Securities and Exchange Commission today announced that Citibank N.A. has agreed to pay $38.7 million to settle charges of[...]
Read ArticleAnthony S. Kelly, Co-Chief of Asset Management Unit, to Leave SEC After 18 Years of Service
November 05, 2018The Securities and Exchange Commission today announced that Anthony S. Kelly, Co-Chief of the Enforcement Division’s Asset Management Unit, will[...]
Read ArticleSEC Adopts Rules That Increase Information Brokers Must Provide to Investors on Order Handling
November 02, 2018The Securities and Exchange Commission today announced that it has voted to adopt amendments that will require broker-dealers to disclose to investors[...]
Read ArticleSEC Charges Investment Adviser With Running $3.9 Million Fraud
November 02, 2018The Securities and Exchange Commission today charged a former registered representative and investment adviser in Altoona, Pennsylvania, with operating a[...]
Read ArticleSEC Charges Family Friend of Former Investment Banker With Insider Trading
November 02, 2018The Securities and Exchange Commission today charged an IT professional in Texas who allegedly participated in an insider trading scheme[...]
Read ArticleSEC Enforcement Division Issues Report on FY 2018 Results
November 02, 2018The Securities and Exchange Commission’s Enforcement Division today issued the annual report of its ongoing efforts to protect investors and[...]
Read ArticleSEC Issues Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
October 31, 2018The Securities and Exchange Commission today announced that it has voted to issue a statement setting forth the Commission’s position,[...]
Read ArticleSEC Adopts Rules to Modernize Property Disclosures Required for Mining Registrants
October 31, 2018The Securities and Exchange Commission today announced that it has voted to adopt amendments to modernize the property disclosure requirements[...]
Read ArticleSEC Updates List of Firms Using Inaccurate Information to Solicit Investors
October 31, 2018The Securities and Exchange Commission today announced that it has updated its list of unregistered entities that use misleading information[...]
Read ArticleSEC Updates List of Firms Using Inaccurate Information to Solicit Investors
October 31, 2018The Securities and Exchange Commission today announced that it has updated its list of unregistered entities that use misleading information[...]
Read ArticleSEC Proposes Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts
October 30, 2018The Securities and Exchange Commission today announced that it has voted to propose rule changes designed to improve disclosure for[...]
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