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 Charges EB-5 Operator With Securities Fraud
April 28, 2017The Securities and Exchange Commission today announced that an Idaho man has agreed to pay back several million dollars he[...]
Read ArticleExecutives Charged in Connection With Accounting Failures at Government Contractor
April 28, 2017The Securities and Exchange Commission today announced charges against two former executives at a government contractor that was the subject[...]
Read ArticleBroker Charged With Defrauding Customers
April 25, 2017The Securities and Exchange Commission today charged a former broker with knowingly or recklessly trading unsuitable investment products in the[...]
Read ArticleSEC Awards Nearly $4 Million to Whistleblower
April 25, 2017The Securities and Exchange Commission today announced an award of nearly $4 million to a whistleblower who tipped the agency[...]
Read ArticleInvestment Bank VP Charged With Insider Trading
April 24, 2017The Securities and Exchange Commission today charged a vice president in the risk management department of a New York-based investment[...]
Read ArticlePortfolio Manager Charged With Diverting Nearly $2 Million to Personal Account
April 24, 2017The Securities and Exchange Commission today announced fraud charges against a Massachusetts-based portfolio manager accused of diverting at least $1.95[...]
Read ArticleTelecom Executives Agree to Pay Penalties For FCPA Violations
April 24, 2017The Securities and Exchange Commission today announced that two former executives at Hungarian-based telecommunications company Magyar Telekom have agreed to[...]
Read ArticleSEC: Payments for Bullish Articles on Stocks Must Be Disclosed to Investors
April 10, 2017The Securities and Exchange Commission today announced enforcement actions against 27 individuals and entities behind various alleged stock promotion schemes[...]
Read ArticleSEC Adopts JOBS Act Amendments to Help Entrepreneurs and Investors
April 05, 2017The Securities and Exchange Commission today announced that it has adopted amendments to increase the amount of money companies can[...]
Read ArticleKara Novaco Brockmeyer, Chief of FCPA Unit, to Leave SEC After 17 Years of Service
April 04, 2017The Securities and Exchange Commission today announced that Kara Novaco Brockmeyer, Chief of the Enforcement Division’s Foreign Corrupt Practices Act[...]
Read ArticleSEC Announces Agenda for April 5 Meeting of the Equity Market Structure Advisory Committee
March 30, 2017The Securities and Exchange Commission today announced its Equity Market Structure Advisory Committee will meet on April 5 beginning at[...]
Read ArticleSEC Charges Pastor With Defrauding Retirees
March 30, 2017The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze obtained against a Michigan-based pastor accused[...]
Read Article