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 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[...]
Read ArticleSEC Proposes Rules to Simplify and Streamline Disclosures in Certain Registered Debt Offerings
July 24, 2018The Securities and Exchange Commission today voted to propose rule amendments to simplify and streamline the financial disclosure requirements applicable[...]
Read ArticleSEC Detects Silicon Valley Executive’s Insider Trading
July 24, 2018The Securities and Exchange Commission today announced that a senior executive at a Silicon Valley fiber optics company has agreed to[...]
Read ArticleSEC Charges Failed Fyre Festival Founder and Others With $27.4 Million Offering Fraud
July 24, 2018The Securities and Exchange Commission today announced that New York entrepreneur William Z. (Billy) McFarland, two companies he founded, a[...]
Read ArticleSEC Charges Mizuho Securities for Failure to Safeguard Customer Information
July 23, 2018The Securities and Exchange Commission today charged Mizuho Securities USA LLC for its failure to safeguard information pertaining to stock[...]
Read ArticleJulie Lutz, Regional Director of the Denver Regional Office, to Leave SEC After More Than 40 Years Serving Investors
July 23, 2018The Securities and Exchange Commission today announced that Julie K. Lutz, the Regional Director of the SEC’s Denver Regional Office,[...]
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