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 Firms Involved in Layering, Manipulation Schemes
March 10, 2017The Securities and Exchange Commission today announced fraud charges against a Ukraine-based trading firm accused of manipulating the U.S. markets[...]
Read ArticleSEC Charges Marijuana-Related Company and Executives With Touting Bogus Revenues
March 09, 2017The Securities and Exchange Commission today charged a California-based company and its founder with falsely touting “record” revenue numbers to[...]
Read ArticleSEC Posts Notice of Availability of IFRS Taxonomy
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Read ArticleSEC Proposes Rule Amendments to Improve Municipal Securities Disclosures
March 01, 2017The Securities and Exchange Commission today voted to propose rule amendments to improve investor protection and enhance transparency in the[...]
Read ArticleSEC Announces Agenda for March 9 Investor Advisory Committee Meeting
February 23, 2017The Securities and Exchange Commission today announced the agenda for the March 9 meeting of its Investor Advisory Committee. The[...]
Read ArticleSEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers
February 23, 2017The Securities and Exchange Commission today published information and guidance for investors and the financial services industry on the fast-growing[...]
Read ArticleSEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers
February 23, 2017The Securities and Exchange Commission today published information and guidance for investors and the financial services industry on the fast-growing[...]
Read ArticleSEC to Host Crowdfunding Dialogue February 28
February 21, 2017The Securities and Exchange Commission will host a crowdfunding symposium Feb. 28, covering research, challenges, opportunities, and the effects of securities-based[...]
Read ArticleSEC to Host Crowdfunding Dialogue February 28
February 21, 2017The Securities and Exchange Commission will host a crowdfunding symposium Feb. 28, covering research, challenges, opportunities, and the effects of securities-based[...]
Read ArticleSEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings
February 17, 2017The Securities and Exchange Commission and the North American Securities Administrators Association today signed an information-sharing agreement as new rules[...]
Read ArticleSEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings
February 17, 2017The Securities and Exchange Commission and the North American Securities Administrators Association today signed an information-sharing agreement as new rules[...]
Read ArticleSEC Charges Fuel Cell Company and Officers With Defrauding Investors
February 14, 2017The Securities and Exchange Commission today charged a California-based penny stock company and four corporate officers with misleading investors about[...]
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