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.
Thomas J. Butler Named an Associate Regional Director for Examinations in New York Regional Office
September 20, 2017The Securities and Exchange Commission today announced that Thomas J. Butler has been named an Associate Regional Director for the[...]
Read ArticleCEO Charged With Using Secret Accounts for Insider Trading in Company Stock
September 20, 2017The Securities and Exchange Commission today charged the former CEO of a Silicon Valley-based fiber optics company with insider trading[...]
Read ArticleCatherine McGuire to Retire After More Than 40 Years at the SEC
September 19, 2017The Securities and Exchange Commission today announced that Catherine McGuire, Counsel in the Division of Trading and Markets, is retiring[...]
Read ArticleKen C. Joseph, Head of Investment Adviser/Investment Company Examination Program in SEC’s New York Regional Office, to Leave SEC After 21 Years of Service
September 15, 2017The Securities and Exchange Commission today announced that Ken C. Joseph, Head of Investment Adviser/Investment Company Examination Program in the[...]
Read ArticleSEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of Hurricane Harvey
September 13, 2017The Securities and Exchange Commission is closely monitoring of the impact of Hurricane Irma on investors and capital markets, and[...]
Read ArticleCommission Statement on T+2 Implementation
September 11, 2017Last week, on September 5, 2017, the securities industry successfully implemented a shortened settlement cycle for most securities transactions, pursuant[...]
Read ArticleSEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
September 11, 2017The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening[...]
Read ArticleFormer Amazon Employee and College Friend Charged With Insider Trading
September 07, 2017The Securities and Exchange Commission today announced insider trading charges against a former Amazon financial analyst who allegedly leaked confidential[...]
Read ArticleState Street Paying Penalties to Settle Fraud Charges and Disclosure Failures
September 07, 2017The Securities and Exchange Commission today announced that State Street has agreed to pay more than $35 million to settle[...]
Read ArticleSEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies
September 06, 2017The Securities and Exchange Commission today announced the agenda for the next meeting of its Advisory Committee on Small and[...]
Read ArticleRadio Host Charged With Concert Ticket Investment Scam
September 06, 2017The Securities and Exchange Commission today charged a sports radio personality and another New York City man with stealing millions[...]
Read ArticleRadio Host Charged With Concert Ticket Investment Scam
September 06, 2017The Securities and Exchange Commission today charged a sports radio personality and another New York City man with stealing millions[...]
Read Article