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.
Daniel 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[...]
Read ArticleSEC Names Sarah ten Siethoff Associate Director in the Division of Investment Management’s Rulemaking Office
June 08, 2018The Securities and Exchange Commission today announced that Sarah G. ten Siethoff has been named the Associate Director for the[...]
Read ArticleSEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure
June 05, 2018Yesterday, the Commission voted to improve the experience of investors who invest in mutual funds, ETFs and other investment funds. In[...]
Read ArticleSEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure
June 05, 2018Yesterday, the Commission voted to improve the experience of investors who invest in mutual funds, ETFs and other investment funds. In[...]
Read ArticleSEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation
June 04, 2018The Securities and Exchange Commission today announced that Valerie A. Szczepanik has been named Associate Director of the Division of[...]
Read ArticleSEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation
June 04, 2018The Securities and Exchange Commission today announced that Valerie A. Szczepanik has been named Associate Director of the Division of[...]
Read ArticleSEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients
June 04, 2018The Securities and Exchange Commission today announced that New York-based investment adviser deVere USA, Inc. has agreed to pay an[...]
Read ArticleSEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients
June 04, 2018The Securities and Exchange Commission today announced that New York-based investment adviser deVere USA, Inc. has agreed to pay an[...]
Read ArticleSEC Charges 13 Private Fund Advisers for Repeated Filing Failures
June 01, 2018The Securities and Exchange Commission today announced settlements with 13 registered investment advisers who repeatedly failed to provide required information[...]
Read ArticleSEC Charges 13 Private Fund Advisers for Repeated Filing Failures
June 01, 2018The Securities and Exchange Commission today announced settlements with 13 registered investment advisers who repeatedly failed to provide required information[...]
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