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.
Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls
August 16, 2018The Securities and Exchange Commission today announced that Citigroup has agreed to pay $10.5 million in penalties to settle two[...]
Read ArticleSEC Charges Ameriprise Financial Services for Failing to Safeguard Client Assets
August 15, 2018The Securities and Exchange Commission today announced that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges that[...]
Read ArticleSEC Files Charges in Municipal Bond “Flipping” and Kickback Schemes
August 14, 2018The Securities and Exchange Commission today charged two firms and 18 individuals in a scheme to improperly divert new issue municipal[...]
Read ArticleSEC Bars Perpetrator of Initial Coin Offering Fraud
August 14, 2018The Securities and Exchange Commission today obtained permanent officer-and-director and penny stock bars against the founder of a company who[...]
Read ArticleSEC Charges U.S. Congressman and Others With Insider Trading
August 08, 2018The Securities and Exchange Commission today announced the filing of insider trading charges against Congressman Christopher Collins, the U.S. Representative[...]
Read ArticleSEC Charges Cloud Communications Company and Two Senior Executives With Misleading Revenue Projections
August 07, 2018The Securities and Exchange Commission today charged a cloud communications company and two executives with providing misleading quarterly revenue estimates.[...]
Read ArticleSEC Updates List of Firms Using Inaccurate Information to Solicit Investors
August 06, 2018The Securities and Exchange Commission today announced that it has updated its list of unregistered firms that use misleading information[...]
Read ArticleSEC Charges Recidivist in Stock Manipulation Scheme
July 27, 2018The Securities and Exchange Commission today charged Howard M. Appel with manipulating the stocks of three microcap companies while on[...]
Read ArticleDaniel Gregus Named National Associate Director of Clearance and Settlement Examination Program
July 25, 2018The Securities and Exchange Commission today announced that Daniel Gregus has been named National Associate Director of the Clearance and[...]
Read ArticleKristin Snyder Named Deputy Director of OCIE
July 25, 2018The Securities and Exchange Commission today announced that Kristin Snyder has been named Deputy Director of the agency’s Office of[...]
Read ArticleJane Jarcho, Deputy Director of OCIE, to Retire From SEC
July 25, 2018The Securities and Exchange Commission today announced that Jane Jarcho, Deputy Director of the Office of Compliance Inspections and Examinations[...]
Read ArticleElizabeth Baird and Christian Sabella Named Deputy Directors of the Division of Trading and Markets
July 25, 2018The Securities and Exchange Commission today announced that Elizabeth Baird and Christian Sabella have been named Deputy Directors in the Division[...]
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