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 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[...]
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 ArticleGeneral Motors Charged With Accounting Control Failures
January 18, 2017The Securities and Exchange Commission today announced that General Motors has agreed to pay a $1 million penalty to settle[...]
Read ArticleMedical Device Company Charged With Accounting Failures and FCPA Violations
January 18, 2017The Securities and Exchange Commission today announced that Texas-based medical device company Orthofix International has agreed to admit wrongdoing and[...]
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