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 Expands the Scope of Smaller Public Companies that Qualify for Scaled Disclosures
June 28, 2018The Securities and Exchange Commission today voted to adopt amendments to the “smaller reporting company” (SRC) definition to expand the[...]
Read ArticleFormer Equifax Manager Charged With Insider Trading
June 28, 2018The Securities and Exchange Commission today charged a former Equifax manager with insider trading in advance of the company’s September[...]
Read ArticleSEC and CFTC Announce Approval of New MOU
June 28, 2018The Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) announced today that the two agencies have approved[...]
Read ArticleSEC Charges Credit Ratings Analyst and Two Friends with Insider Trading
June 26, 2018The Securities and Exchange Commission today charged a credit ratings agency employee with tipping two friends about The Sherwin-Williams Co.’s[...]
Read ArticleWells Fargo Advisors Settles SEC Charges for Improper Sales of Complex Financial Products
June 25, 2018The Securities and Exchange Commission today announced that Wells Fargo Advisors LLC agreed to settle charges of misconduct in the[...]
Read ArticlePaul G. Cellupica Named Deputy Director—Chief Counsel of the Division of Investment Management
June 21, 2018The Securities and Exchange Commission announced today that Paul G. Cellupica has been named Chief Counsel of the Division of[...]
Read ArticleSEC Shuts Down $102 Million Ponzi Scheme
June 19, 2018The Securities and Exchange Commission today filed charges and obtained an asset freeze against the individuals and companies behind a[...]
Read ArticleInvestors, Innovation, and Performance Top SEC’s Draft Strategic Plan
June 19, 2018The Securities and Exchange Commission today published a draft strategic plan that focuses on investors, innovation, and performance as the[...]
Read ArticleMerrill Lynch Admits to Misleading Customers about Trading Venues
June 19, 2018The Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith with misleading customers about how it handled[...]
Read ArticleDaniel J. Wadley Named as Regional Director of Salt Lake Office
June 18, 2018The Securities and Exchange Commission today named Daniel J. Wadley as Regional Director of its Salt Lake office. Mr. Wadley[...]
Read ArticleMaurya C. Keating Named an Associate Regional Director for Examinations in New York Regional Office
June 15, 2018The Securities and Exchange Commission today announced that Maurya C. Keating has been named an Associate Regional Director for the[...]
Read ArticleSEC Charges Merrill Lynch for Failure to Supervise RMBS Traders
June 12, 2018The Securities and Exchange Commission today announced that Merrill Lynch, Pierce, Fenner & Smith Inc. will pay more than $15[...]
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