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 Businessman With Misusing EB-5 Investments
January 17, 2017The Securities and Exchange Commission today announced fraud charges against an Oakland, Calif.-based businessman accused of misusing money he raised[...]
Read ArticleAllergan Paying $15 Million Penalty for Disclosure Failures During Merger Talks
January 17, 2017The Securities and Exchange Commission today announced that Allergan Inc. has agreed to admit securities law violations and pay a[...]
Read Article10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions
January 17, 2017The Securities and Exchange Commission today announced that 10 investment advisory firms have agreed to pay penalties ranging from $35,000[...]
Read ArticleChemical and Mining Company in Chile Paying $30 Million to Resolve FCPA Cases
January 13, 2017The Securities and Exchange Commission today announced that Chilean-based chemical and mining company Sociedad Quimica y Minera de Chile S.A.[...]
Read ArticleMorgan Stanley Paying $13 Million Penalty for Overbilling Clients and Violating Custody Rule
January 13, 2017The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney has agreed to pay a $13 million penalty[...]
Read ArticleMichael J. Osnato Jr., Chief of Enforcement Division’s Complex Financial Instruments Unit, to Leave SEC
January 12, 2017The Securities and Exchange Commission today announced that Michael J. Osnato Jr., Chief of the Enforcement Division’s Complex Financial Instruments[...]
Read ArticleSEC Charges Government Contractor With Inadequate Controls and Books and Records Violations
January 11, 2017The Securities and Exchange Commission today announced that L3 Technologies Inc. (formerly known as L-3 Communications Holdings Inc.), a contractor[...]
Read ArticleSEC: Port Authority Omitted Risks to Investors in Roadway Projects
January 10, 2017The Securities and Exchange Commission today announced that the Port Authority of New York and New Jersey has agreed to[...]
Read ArticleSEC Charges Two Brokers With Defrauding Customers
January 09, 2017The Securities and Exchange Commission today charged two New York-based brokers with fraudulently using an in-and-out trading strategy that was[...]
Read ArticleChinese Traders Charged With Trading on Hacked Nonpublic Information Stolen From Two Law Firms
December 27, 2016The Securities and Exchange Commission today charged three Chinese traders with fraudulently trading on hacked nonpublic market-moving information stolen from[...]
Read ArticleSEC Names Timothy Husson Associate Director in the Division of Investment Management’s Risk and Examinations Office
December 22, 2016The Securities and Exchange Commission today named Timothy Husson Associate Director in the Division of Investment Management’s Risk and Examinations[...]
Read ArticleSEC Names Sara P. Crovitz Deputy Chief Counsel in the Division of Investment Management’s Chief Counsel’s Office
December 22, 2016The Securities and Exchange Commission today named Sara P. Crovitz Deputy Chief Counsel and Associate Director in the Division of[...]
Read Article