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 Bars Lawyer Who Committed Fraud
July 19, 2017The Securities and Exchange Commission today barred a New York-based attorney from appearing or practicing before it and acting as[...]
Read ArticleSEC Announces Christopher Hetner as Senior Advisor to the Chairman for Cybersecurity Policy
July 18, 2017The Securities and Exchange Commission today announced that Christopher R. Hetner will continue to serve as Senior Advisor to Chairman[...]
Read ArticleSEC Files Fraud Charges in Bitcoin and Office Space Investment Schemes
June 30, 2017The Securities and Exchange Commission today filed fraud charges against the clandestine founder of a purported Bitcoin platform and a[...]
Read ArticleSEC Charges Information Technology Company and Former Executives With Accounting Fraud
June 30, 2017The Securities and Exchange Commission has charged Chicago-area information technology company Quadrant 4 System Corp. (QFOR) and two former top[...]
Read ArticleSEC’s Division of Corporation Finance Expands Popular JOBS Act Benefit to All Companies
June 29, 2017The Securities and Exchange Commission today announced that the Division of Corporation Finance will permit all companies to submit draft[...]
Read ArticleSEC Charges Oil and Gas Company and Top Finance Executives with Accounting Fraud
June 28, 2017The Securities and Exchange Commission today charged a Canadian-based oil and gas company and three of its former top finance[...]
Read ArticleAdditional Charges Announced in Case Involving Pre-Released ADRs
June 22, 2017The Securities and Exchange Commission today announced additional charges in an enforcement investigation involving the improper handling of American Depositary[...]
Read ArticleRobert Evans III Named Deputy Director in SEC’s Division of Corporation Finance
June 20, 2017The Securities and Exchange Commission today announced that Robert Evans III has been named Deputy Director in the agency’s Division[...]
Read ArticleKelly L. Gibson Named as Associate Regional Director for Enforcement in the SEC’s Philadelphia Office
June 20, 2017The Securities and Exchange Commission today announced that Kelly L. Gibson has been named the Associate Regional Director for Enforcement[...]
Read ArticleKathryn A. Pyszka Named as Associate Regional Director for Enforcement in the SEC’s Chicago Office
June 20, 2017The Securities and Exchange Commission today announced that Kathryn A. Pyszka has been named an Associate Regional Director for Enforcement[...]
Read ArticleKeith Cassidy Named Associate Director of Technology Controls Program in OCIE
June 15, 2017The Securities and Exchange Commission today announced that Keith E. Cassidy has been named Associate Director, Technology Controls Program, in the[...]
Read ArticleSEC Announces Agenda for June 22 Investor Advisory Committee Meeting
June 14, 2017The Securities and Exchange Commission today announced the agenda for the June 22 meeting of its Investor Advisory Committee. The[...]
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