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.
Gary Goldsholle, Former Deputy Director, Current Senior Policy Adviser in the Division of Trading and Markets, to Leave the SEC
October 10, 2018The Securities and Exchange Commission today announced that Gary Goldsholle, a senior policy adviser in the Division of Trading and Markets, will[...]
Read ArticleSEC Monitoring Impact of Hurricane Michael on Capital Markets
October 10, 2018The Securities and Exchange Commission is closely monitoring the impact of Hurricane Michael on investors and capital markets. “The dedicated staff[...]
Read ArticleSEC Charges Real Estate Developer With Fraud in Project Tied to New Commuter Rail Station
October 05, 2018The Securities and Exchange Commission today charged a Virginia real estate developer with skimming investor funds that were intended for[...]
Read ArticleSEC Halts Microcap Fraud Scheme Orchestrated Through International Accounts
October 03, 2018The Securities and Exchange Commission has filed an emergency action and obtained an asset freeze against two individuals and their[...]
Read ArticleSEC to Focus on Empowering Main Street Investors for 2018 World Investor Week
October 01, 2018The Securities and Exchange Commission today announced that empowering Main Street investors will be the SEC’s focus during World Investor[...]
Read ArticleSEC to Focus on Empowering Main Street Investors for 2018 World Investor Week
October 01, 2018The Securities and Exchange Commission today announced that empowering Main Street investors will be the SEC’s focus during World Investor[...]
Read ArticleElon Musk Settles SEC Fraud Charges; Tesla Charged With and Resolves Securities Law Charge
September 29, 2018The Securities and Exchange Commission announced today that Elon Musk, CEO and Chairman of Silicon Valley-based Tesla, Inc., has agreed[...]
Read ArticleBrokerage Firm to Exit Penny Stock Deposit Business and Pay Penalty for Repeatedly Failing to Report Suspicious Trading
September 28, 2018The Securities and Exchange Commission today announced settled charges against clearing firm COR Clearing LLC for failing to report suspicious[...]
Read ArticleCredit Suisse Agrees to Pay $10 Million to Settle Charges Related to Handling of Retail Customer Orders
September 28, 2018The Securities and Exchange Commission today announced that Credit Suisse Securities (USA) LLC has agreed to settle charges brought by[...]
Read ArticleCharges LendingClub Asset Management and Former Executives With Misleading Investors and Breaching Fiduciary Duty
September 28, 2018The Securities and Exchange Commission today charged San Francisco-based LendingClub Asset Management LLC (formerly known as LendingClub Advisors LLC) and[...]
Read ArticleSEC Charges Stryker A Second Time for FCPA Violations
September 28, 2018The Securities and Exchange Commission today charged Stryker Corp. with violating the books and records and internal accounting controls provisions[...]
Read ArticleSEC Charges Salix Pharmaceuticals and Former CFO With Lying About Distribution Channel
September 28, 2018The Securities and Exchange Commission today charged Salix Pharmaceuticals Ltd. and its former CFO with repeatedly misleading analysts and investors[...]
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