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 Issues Agenda for July 16 Meeting of the Fixed Income Market Structure Advisory Committee
July 11, 2018The Securities and Exchange Commission today released the agenda for the July 16 meeting of the Fixed Income Market Structure[...]
Read ArticleSEC Files Additional Charges in Fitbit Stock Manipulation Scheme
July 11, 2018The Securities and Exchange Commission today filed fraud charges against a second defendant in connection with a scheme to manipulate[...]
Read ArticleFormer CEO and CFO of ITT Barred and Ordered to Pay Penalties
July 06, 2018The Securities and Exchange Commission today announced settlements with two former senior executives of ITT Educational Services Inc., which the[...]
Read ArticleSEC Charges Credit Suisse With FCPA Violations
July 05, 2018The Securities and Exchange Commission today announced that Credit Suisse Group AG will pay approximately $30 million to resolve SEC[...]
Read ArticleSEC Charges KBR for Inflating Key Performance Metric
July 02, 2018The Securities and Exchange Commission today charged global engineering and construction company KBR Inc. for inflating a key performance metric[...]
Read ArticleSEC Charges Attorney and Law Firm Business Manager With Illegal Sales of UBI Blockchain Internet Stock
July 02, 2018The Securities and Exchange Commission today charged two men alleged to have profited from illegal sales of stock of a[...]
Read ArticleSEC Chairman Clayton Invites Main Street Investors to ‘Tell Us’ About Their Investor Experience
June 29, 2018Securities and Exchange Commission Chairman Jay Clayton is inviting Main Street investors from around the country to ‘Tell Us’ about[...]
Read ArticleSEC Charges Morgan Stanley in Connection With Failure to Detect or Prevent Misappropriation of Client Funds
June 29, 2018The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney (MSSB) has agreed to pay a $3.6 million[...]
Read ArticleSEC Charges New York-Based Firm and Supervisors for Failing to Supervise Brokers Who Defrauded Customers
June 29, 2018The Securities and Exchange Commission today charged New York-based broker-dealer Alexander Capital L.P. and two of its managers for failing[...]
Read ArticleSEC Celebrates Lesbian, Gay, Bisexual and Transgender Pride Month
June 28, 2018The Securities and Exchange Commission this week concluded its month of special events and guest speakers – at its Washington,[...]
Read ArticleSEC Approves Final and Proposed Rules in Latest Open Meeting
June 28, 2018The Securities and Exchange Commission today voted on several final rules and rule proposals that together represent material progress toward[...]
Read ArticleSEC Proposes Whistleblower Rule Amendments
June 28, 2018The Securities and Exchange Commission today voted to propose amendments to the rules governing its whistleblower program. The whistleblower program[...]
Read Article