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 ICO Superstore and Owners With Operating As Unregistered Broker-Dealers
September 11, 2018The Securities and Exchange Commission today announced that TokenLot LLC, a self-described “ICO Superstore,” and its owners will settle charges[...]
Read ArticleSEC Obtains Relief to Fully Reimburse Retail Investors Sold Unsuitable Product
September 11, 2018The Securities and Exchange Commission today announced it has obtained monetary relief that will fully reimburse retail investors for losses[...]
Read ArticleSEC Charges Two Brokers With Defrauding Customers
September 10, 2018The Securities and Exchange Commission charged two brokers for recommending excessive levels of trading that were costly for retail customers[...]
Read ArticleSEC Charges Microcap Fraudsters for Roles in Lucrative Market Manipulation Schemes
September 07, 2018The Securities and Exchange Commission today charged a group of 10 individuals and 10 associated entities for their participation in[...]
Read ArticleSEC Charges Real Estate Broker With FCPA Violations
September 06, 2018The Securities and Exchange Commission today announced settled FCPA charges against a New Jersey real estate broker arising out of[...]
Read ArticleSEC Names Anita Bandy and Carolyn Welshhans as Associate Directors in Enforcement Division
September 06, 2018The Securities and Exchange Commission today announced that Anita B. Bandy and Carolyn M. Welshhans have been named Associate Directors[...]
Read ArticleSEC Awards More Than $54 Million to Two Whistleblowers
September 06, 2018The Securities and Exchange Commission is awarding $39 million to one whistleblower and $15 million to another whose critical information[...]
Read ArticleSEC Charges Two Men With Fraud in Fake Trading Accounts Scheme
September 05, 2018The Securities and Exchange Commission today charged two Michigan men with fraud for their roles in a fake accounts scheme perpetrated[...]
Read ArticleSEC Charges Cannabis Investment Fund and Founder in Fraudulent Scheme
September 05, 2018The Securities and Exchange Commission today charged a Texas-based investment fund and its founder with defrauding investors with false promises[...]
Read ArticleSEC Names Rebecca J. Olsen as Director of the Office of Municipal Securities
September 04, 2018The Securities and Exchange Commission today announced that Rebecca J. Olsen has been named Director of the agency's Office of[...]
Read ArticleSEC Charges Telecommunications Expense Management Company With Accounting Fraud
September 04, 2018The Securities and Exchange Commission today charged a telecommunications expense management company for its use of fraudulent accounting practices that[...]
Read ArticleSanofi Charged With FCPA Violations
September 04, 2018The Securities and Exchange Commission today announced that Paris-based pharmaceutical company Sanofi has agreed to pay more than $25 million to[...]
Read Article