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.
Agencies 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[...]
Read ArticleSEC Announces Agenda for Sept. 13 Investor Advisory Committee Meeting
August 24, 2018The Securities and Exchange Commission today announced the agenda for the Sept. 13 meeting of its Investor Advisory Committee (IAC). The meeting will begin at[...]
Read ArticleFee Rate Advisory #1 for Fiscal Year 2019
August 24, 2018The Securities and Exchange Commission today announced that in fiscal year 2019 the fees that public companies and other issuers pay[...]
Read ArticleSEC Names Matthew S. Jacques as Chief Accountant in Enforcement Division
August 23, 2018The Securities and Exchange Commission today announced that Matthew S. Jacques has been named the new chief accountant in the[...]
Read ArticleBarry Miller, Associate Director in Division of Investment Management, to Leave SEC After More Than 40 Years of Public Service
August 23, 2018The Securities and Exchange Commission today announced that Barry D. Miller, Associate Director of Disclosure Review and Accounting in the[...]
Read ArticleSEC Chairman Clayton Announces Additional Investor Roundtable in Baltimore for Main Street Investors to ‘Tell Us’ About Their Investor Experience
August 22, 2018Securities and Exchange Commission Chairman Jay Clayton announced today that an additional investor roundtable to discuss the Commission’s recently proposed[...]
Read Article