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 Self-Described Promoter With Microcap Market Manipulation Scheme
November 28, 2018The Securities and Exchange Commission today charged a self-described penny stock promoter and an entity he controlled with orchestrating a[...]
Read ArticleKurt Gottschall Named Director of Denver Office
November 19, 2018The Securities and Exchange Commission today announced that Kurt L. Gottschall has been named Director of the Denver Regional Office.[...]
Read ArticleTwo ICO Issuers Settle SEC Registration Charges, Agree to Register Tokens as Securities
November 16, 2018The Securities and Exchange Commission today announced settled charges against two companies that sold digital tokens in initial coin offerings[...]
Read ArticleSEC Charges Giga Entertainment Media, Former Officers and Directors With Fraud in Pay-For-Download Campaign
November 15, 2018The Securities and Exchange Commission today charged Giga Entertainment Media Inc. and five of its former officers and directors—Gary Nerlinger, Jarret[...]
Read ArticleSEC Brings Additional Charges in New York Boiler Room Scheme Targeting Seniors
November 15, 2018The Securities and Exchange Commission today brought additional charges against a Long Island, New York-based boiler room previously sued for[...]
Read ArticleSEC Settles Insider Trading Claims Against Former Chairman and CEO of Advanced Medical Optics
November 13, 2018The Securities and Exchange Commission today announced that it has agreed to resolve its insider trading claims against James V.[...]
Read ArticleSEC Announces Agenda, Panelists for Staff Roundtable on the Proxy Process
November 08, 2018The Securities and Exchange Commission today announced the agenda and panelists for the staff roundtable on the proxy process on[...]
Read ArticleStock Research Firm and Co-Founders Charged With Deceiving Investors in Supposedly Unbiased Reports
November 08, 2018The Securities and Exchange Commission today charged a stock research firm and its co-founders with defrauding investors by issuing reports[...]
Read ArticleSEC Charges EtherDelta Founder With Operating an Unregistered Exchange
November 08, 2018The Securities and Exchange Commission today announced settled charges against Zachary Coburn, the founder of EtherDelta, a digital "token" trading platform.[...]
Read ArticleInvestor Testing of the Proposed Relationship Summary for Investment Advisers and Broker-Dealers
November 07, 2018In connection with our ongoing efforts to help address investor confusion about the nature of their relationships with investment advisers[...]
Read ArticleSEC 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[...]
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