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.
Biopharmaceutical 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[...]
Read ArticleSEC and NYU to Host Sept. 21 Forum on High-Frequency Trading and Liquidity Resiliency
September 17, 2018The U.S. Securities and Exchange Commission's Division of Economic and Risk Analysis and Division of Trading and Markets are partnering with[...]
Read ArticleMark Wolfe Named Associate Director in Office of Derivatives Policy and Trading Practices
September 17, 2018The Securities and Exchange Commission today announced that Mark E. Wolfe has been named Associate Director of the Office of[...]
Read ArticleSEC Charges Investment Advisers With Defrauding Retail Advisory Clients
September 14, 2018The Securities and Exchange Commission today charged an Indianapolis-based investment advisory firm and its sole owner with selling approximately $13[...]
Read ArticleWhistleblower Receives Award of Approximately $1.5 Million
September 14, 2018The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1.5 million. The[...]
Read ArticleSEC Charges Citigroup for Dark Pool Misrepresentations
September 14, 2018The Securities and Exchange Commission today entered an order finding that Citigroup Global Markets Inc. misled users of a dark[...]
Read ArticleSEC Monitoring Impact of Hurricane Florence on Capital Markets
September 13, 2018The Securities and Exchange Commission is closely monitoring the impact of Hurricane Florence on investors and capital markets. “The SEC is[...]
Read ArticleBroker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data
September 13, 2018The Securities and Exchange Commission today announced that Convergex Execution Solutions LLC, now known as Cowen Execution Services LLC, will[...]
Read ArticleSEC Charges Hedge Fund Adviser With Short-and-Distort Scheme
September 12, 2018The Securities and Exchange Commission today charged a hedge fund adviser and his investment advisory firm with illegally profiting from[...]
Read ArticleSEC Uses Data Analysis to Detect Cherry-Picking By Broker
September 12, 2018The Securities and Exchange Commission today charged a New Jersey-based broker with misusing his access to customers’ brokerage accounts to[...]
Read ArticleUnited Technologies Charged With Violating FCPA
September 12, 2018The Securities and Exchange Commission today announced that Connecticut-based United Technologies Corporation will pay $13.9 million to resolve charges that[...]
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