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 Announces $23.8 Million Settlement with the Self-Proclaimed “Frack Master”
October 23, 2018The Securities and Exchange Commission today announced it has agreed to a settlement with Christopher A. Faulkner—the self-proclaimed “Frack Master”—in[...]
Read ArticleSEC Suspends Trading in Company for Making False Cryptocurrency-Related Claims about SEC Regulation and Registration
October 22, 2018The Securities and Exchange Commission today suspended trading in the securities of a company amid questions surrounding its statements about[...]
Read ArticleSEC Charges Lawyer and Her Husband in EB-5 Fraud
October 18, 2018The Securities and Exchange Commission today charged a California-based immigration attorney and her husband in a fraudulent scheme that generated[...]
Read ArticleSEC Launches New Strategic Hub for Innovation and Financial Technology
October 18, 2018The U.S. Securities and Exchange Commission today announced the launch of the agency's Strategic Hub for Innovation and Financial Technology (FinHub).[...]
Read ArticleSEC Announces 2018 Government-Business Forum to Be Held at The Ohio State University
October 18, 2018The Securities and Exchange Commission today announced it is partnering with the National Center for the Middle Market at The[...]
Read ArticleSEC Charges Investment Adviser With Stealing From Friends, Community Members
October 17, 2018The Securities and Exchange Commission today announced charges against an investment adviser with a history of violating the securities laws for defrauding his[...]
Read ArticleSEC Provides Regulatory Relief and Assistance for Hurricane Victims
October 16, 2018The Securities and Exchange Commission today announced that it is providing regulatory relief to publicly traded companies, investment companies, accountants, transfer agents,[...]
Read ArticleSEC Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting Controls
October 16, 2018The Securities and Exchange Commission today issued an investigative report cautioning that public companies should consider cyber threats when implementing[...]
Read ArticleSEC Suspends Former BDO Accountants for Improperly “Predating” Audit Work Papers
October 12, 2018The Securities and Exchange Commission today suspended three former BDO USA LLP accountants for their improper professional conduct during an[...]
Read ArticleSEC’s New Strategic Plan Puts Investors, Innovation, and Performance at Top
October 11, 2018The Securities and Exchange Commission today announced a new strategic plan to guide the agency’s work over the next four[...]
Read ArticleSEC Reopens Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
October 11, 2018The Securities and Exchange Commission today voted to reopen the comment period and request additional comment (including potential modifications to proposed[...]
Read ArticleSEC Stops Fraudulent ICO That Falsely Claimed SEC Approval
October 11, 2018The Securities and Exchange Commission today announced that it has obtained an emergency court order halting a planned initial coin[...]
Read Article