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 Awards Almost $4 Million to Overseas Whistleblower
September 24, 2018The Securities and Exchange Commission today announced that it has awarded nearly $4 million to an overseas whistleblower whose tip[...]
Read ArticleSEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program
September 21, 2018The Securities and Exchange Commission today announced that an Illinois-based regional center, its CEO, and 37 affiliated limited partnerships have[...]
Read ArticlePublic Companies Charged With Failing to Comply With Quarterly Reporting Obligations
September 21, 2018The Securities and Exchange Commission today announced charges against five public companies for failing to provide financial statements that were[...]
Read ArticleSEC Staff to Host Nov. 15 Roundtable on the Proxy Process
September 21, 2018The Securities and Exchange Commission today announced that its staff will host a roundtable on Nov. 15 to hear investor, issuer, and other[...]
Read ArticleBusiness Services Company and Former CFO Charged With Accounting Fraud
September 20, 2018The Securities and Exchange Commission today charged the former chief financial officer of Barrett Business Services Inc. for his role in[...]
Read ArticlePamela C. Dyson, Chief Information Officer, to Leave SEC
September 20, 2018The Securities and Exchange Commission today announced that Pamela C. Dyson plans to leave the SEC to serve as executive[...]
Read ArticleChristopher Hetner, Senior Advisor to the Chairman for Cybersecurity Policy, to Leave the Agency
September 19, 2018The Securities and Exchange Commission today announced that Christopher R. Hetner, Senior Advisor to Chairman Jay Clayton for Cybersecurity Policy,[...]
Read ArticleSEC Provides Regulatory Relief and Assistance for Hurricane Victims
September 19, 2018The Securities and Exchange Commission today announced that it is providing regulatory relief to publicly traded companies, investment companies, accountants, transfer agents,[...]
Read ArticleSEC Shuts Down $345 Million Fraud and Obtains Asset Freeze
September 19, 2018The Securities and Exchange Commission today announced it has obtained a court order halting an ongoing Ponzi-like scheme that raised more[...]
Read ArticleSEC Staff to Host Roundtable on Regulatory Approaches to Combating Retail Investor Fraud
September 18, 2018The Securities and Exchange Commission announced today that its Division of Trading and Markets will host a roundtable on Sept. 26[...]
Read ArticleBiopharmaceutical Company, Executives Charged With Misleading Investors About Cancer Drug
September 18, 2018The Securities and Exchange Commission today announced that a Boulder, Colorado-based biopharmaceutical company, its CEO, and its former CFO will[...]
Read ArticleSeaWorld and Former CEO to Pay More Than $5 Million to Settle Fraud Charges
September 18, 2018The Securities and Exchange Commission today announced that SeaWorld Entertainment Inc. and its former CEO have agreed to pay more[...]
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