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 Announces Agenda for February 15 Meeting of the Advisory Committee on Small and Emerging Companies
February 08, 2017The Securities and Exchange Commission today announced the agenda for the February 15 meeting of its Advisory Committee on Small[...]
Read ArticleSEC Charges Investment Adviser With Stealing Investor Funds
February 02, 2017The Securities and Exchange Commission today charged a Connecticut-based investment advisory business and its owner with stealing money from investors[...]
Read ArticleCitigroup Paying $18 Million for Overbilling Clients
January 26, 2017The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay $18.3 million to settle charges[...]
Read ArticleSEC Charges Two Former Och-Ziff Executives With FCPA Violations
January 26, 2017The Securities and Exchange Commission today charged two former executives at Och-Ziff Capital Management Group with being the driving forces[...]
Read ArticleSEC Establishes Supervisory Cooperation Arrangement With Hong Kong SFC
January 19, 2017The Securities and Exchange Commission today announced that it has established a comprehensive arrangement with the Hong Kong Securities and[...]
Read ArticleJennifer Diamantis Named Chief of Office of Market Intelligence
January 19, 2017The Securities and Exchange Commission today announced that Jennifer A. Diamantis has been named Chief of the Enforcement Division’s Office of[...]
Read ArticleFinancial Company Charged With Improper Accounting and Impeding Whistleblowers
January 19, 2017The Securities and Exchange Commission today announced that Seattle-based financial services company HomeStreet Inc. has agreed to pay a $500,000[...]
Read ArticleSEC Chief of Staff Andrew J. Donohue to Leave Agency
January 19, 2017The Securities and Exchange Commission today announced that SEC Chief of Staff Andrew J. ”Buddy” Donohue will be leaving the[...]
Read ArticleGeneral Counsel Anne K. Small to Leave SEC
January 18, 2017The Securities and Exchange Commission today announced that General Counsel Anne K. Small will leave the agency later this month. [...]
Read ArticleCompany Settles Charges Over Undisclosed Perks and Improper Use of Non-GAAP Measures
January 18, 2017The Securities and Exchange Commission today announced that New York-based marketing company MDC Partners has agreed to pay a $1.5[...]
Read ArticleSEC Deputy Chief of Staff Nathaniel Stankard to Leave Agency
January 18, 2017The Securities and Exchange Commission today announced that Nathaniel Stankard, deputy chief of staff for policy, will be leaving the[...]
Read ArticleSEC Deputy Chief of Staff Nathaniel Stankard to Leave Agency
January 18, 2017The Securities and Exchange Commission today announced that Nathaniel Stankard, deputy chief of staff for policy, will be leaving the[...]
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