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.
Fee Rate Advisory #1 for Fiscal Year 2018
August 24, 2017The Securities and Exchange Commission today announced that in fiscal year 2018 the fees that public companies and other issuers[...]
Read ArticleMuni Bond Issuer and Underwriter Charged With Disclosure Failures
August 23, 2017The Securities and Exchange Commission today announced that a municipal financing authority in Beaumont, California, and its then-executive director have[...]
Read ArticleSEC Charges Investment Adviser With Defrauding Professional Athlete and His Wife
August 22, 2017The Securities and Exchange Commission today charged investment adviser Jeremy Drake with defrauding two clients, a high profile professional athlete[...]
Read ArticleHedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading
August 21, 2017The Securities and Exchange Commission today announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay[...]
Read ArticleCommission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition
August 18, 2017The Securities and Exchange Commission today issued two releases and the SEC staff released a Staff Accounting Bulletin to update[...]
Read ArticleBanca IMI Securities to Pay $35 Million for Improper Handling of ADRs in Continuing SEC Crackdown
August 18, 2017The Securities and Exchange Commission today announced that broker Banca IMI Securities Corp. (BISC), an indirect, wholly-owned U.S. subsidiary of[...]
Read ArticleSEC Uncovers Wide-Reaching Insider Trading Scheme
August 16, 2017The Securities and Exchange Commission today announced insider trading charges against seven individuals who generated millions in profits by trading[...]
Read ArticleSEC Charges KPMG with Audit Failures
August 15, 2017The Securities and Exchange Commission today announced that KPMG has agreed to pay more than $6.2 million to settle charges[...]
Read ArticleSEC Files Charges in Oil Drilling Investment Scheme
August 11, 2017The Securities and Exchange Commission today charged two Tennessee men and an accomplice in Fort Lauderdale with allegedly defrauding investors[...]
Read ArticleSEC Announces $2.5 Million Whistleblower Award
July 25, 2017The Securities and Exchange Commission today announced an award of nearly $2.5 million to an employee of a domestic government[...]
Read ArticleSEC Names Bryan Wood as Director of the Office of Legislative and Intergovernmental Affairs
July 24, 2017The Securities and Exchange Commission today announced that Bryan Wood has been named Director of the agency's Office of Legislative[...]
Read ArticleFederal Regulatory Agencies Announce Coordination of Reviews for Certain Foreign Funds Under Volcker Rule
July 21, 2017Five federal financial regulatory agencies today announced that they are coordinating their respective reviews of the treatment of certain foreign[...]
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