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 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 ArticleAgencies Extend Comment Period for Proposed Rule Simplifying and Tailoring the “Volcker Rule”
September 04, 2018Joint Release Board of Governors of the Federal Reserve SystemCommodity Futures Trading CommissionFederal Deposit Insurance CorporationOffice of the Comptroller of[...]
Read ArticleSEC Charges Buffalo Advisory Firm and Principal With Fraud Relating to Association With Barred Adviser
August 30, 2018The Securities and Exchange Commission today filed charges against a Buffalo, New York, investment advisory firm and its owner for[...]
Read ArticleSEC Charges Florida Cash Advance Company, Former CEO With Defrauding Retail Investors
August 29, 2018The Securities and Exchange Commission today announced charges against 1 Global Capital LLC and its former chief executive officer for allegedly[...]
Read ArticleSEC Charges NFL Player and Former Investment Banker With Insider Trading
August 29, 2018The Securities and Exchange Commission today charged a professional football player and a former investment banker with insider trading in[...]
Read ArticleSEC Charges Moody’s With Internal Controls Failures and Ratings Symbols Deficiencies
August 28, 2018The Securities and Exchange Commission today announced that Moody’s Investors Service Inc., one of the nation’s largest credit ratings agencies,[...]
Read ArticleLegg Mason Charged With Violating the FCPA
August 27, 2018The Securities and Exchange Commission today announced that Legg Mason Inc. will pay over $34 million to resolve an SEC charge[...]
Read ArticleTransamerica Entities to Pay $97 Million to Investors Relating to Errors in Quantitative Investment Models
August 27, 2018The Securities and Exchange Commission today announced charges against four Transamerica entities for misconduct involving faulty investment models and ordered the[...]
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