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 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,[...]
Read ArticleDeutsche Bank to Pay Nearly $75 Million for Improper Handling of ADRs
July 20, 2018The Securities and Exchange Commission today announced that two U.S.-based subsidiaries of Deutsche Bank AG will pay nearly $75 million[...]
Read ArticleSEC Charges Investment Adviser and CEO With Misleading Retail Investors
July 18, 2018The Securities and Exchange Commission today charged a Connecticut-based investment advisory firm and its chief executive officer with putting $19[...]
Read ArticleSEC Adopts Rules to Enhance Transparency and Oversight of Alternative Trading Systems
July 18, 2018The Securities and Exchange Commission today announced it has voted to adopt amendments to Regulation ATS to enhance operational transparency[...]
Read ArticleSEC Adopts Final Rules and Solicits Public Comment on Ways to Modernize Offerings Pursuant to Compensatory Arrangements
July 18, 2018The Securities and Exchange Commission today issued final rules to amend Securities Act Rule 701, which provides an exemption from[...]
Read ArticleSEC Charges BGC Financial for Failure to Preserve Documents and Maintain Accurate Books and Records
July 17, 2018The Securities and Exchange Commission today announced that New York-based broker-dealer BGC Financial has agreed to pay a $1.25 million[...]
Read ArticleSEC Charges Oil Company CEO, Board Member With Hiding Personal Loans
July 16, 2018The Securities and Exchange Commission today charged the former CEO of Energy XXI Ltd. with hiding more than $10 million[...]
Read ArticleSEC Files Charges in Busted Microcap Schemes
July 13, 2018The Securities and Exchange Commission has charged a stock promoter and four others involved in an alleged series of microcap[...]
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