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.
Law Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme
May 11, 2017The Securities and Exchange Commission today charged a former partner at an international law firm and his neighbor with making[...]
Read ArticleBarclays to Pay $97 Million for Overcharging Clients
May 10, 2017The Securities and Exchange Commission today announced an enforcement action requiring Barclays Capital to refund advisory fees or mutual fund[...]
Read ArticleWilliam Hinman Named Director of Division of Corporation Finance
May 09, 2017The Securities and Exchange Commission today announced that William H. Hinman will be named the new director of the agency’s[...]
Read ArticleSEC Charges Former Staffer With Securities Fraud Violations
May 09, 2017The Securities and Exchange Commission today charged a former employee with securities fraud in connection with his trading of options[...]
Read ArticleSEC Announces Agenda for May 10 Meeting of the Advisory Committee on Small and Emerging Companies
May 05, 2017The Securities and Exchange Commission today announced the agenda for the May 10 meeting of its Advisory Committee on Small[...]
Read ArticleJay Clayton Sworn in as Chairman of SEC
May 04, 2017Jay Clayton was sworn into office this afternoon by U.S. Supreme Court Justice Anthony M. Kennedy as the 32nd Chairman of[...]
Read ArticleFirm, CEO Settle Charges in Ponzi-Like Scheme Involving Life Settlements
May 04, 2017The Securities and Exchange Commission today announced that a New Jersey-based firm and its CEO have agreed to pay more[...]
Read ArticleSEC Staff Supplements Quarterly Private Funds Statistics
May 03, 2017The U.S. Securities and Exchange Commission staff today published a suite of new data and analyses of private fund statistics[...]
Read ArticleSEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers
May 03, 2017Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission and[...]
Read ArticleWhistleblower Award of More Than Half-Million Dollars for Company Insider
May 02, 2017The Securities and Exchange Commission today announced that a company insider has earned a whistleblower award of more than $500,000[...]
Read ArticleSEC and NYU to Host Forum on Reviving IPO Market to Help Drive Economy, Create Jobs
May 02, 2017Going public has helped many companies grow and create jobs, so why has the number of initial public offerings (IPOs)[...]
Read ArticleSemiconductor Company and Former CFO Settle Accounting Fraud Charges
May 01, 2017The Securities and Exchange Commission today announced that a South Korea-based semiconductor manufacturer and its former CFO have agreed to[...]
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