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 Obtains Emergency Order Halting Fraudulent Coin Offering Scheme
May 29, 2018The Securities and Exchange Commission today announced it has obtained a court order halting an ongoing fraud involving an initial[...]
Read ArticleJeffrey Harris, Chief Economist and Director of the SEC’s Division of Economic and Risk Analysis, to Leave the Agency
May 29, 2018The Securities and Exchange Commission today announced that Dr. Jeffrey H. Harris, the Chief Economist and Director of the Division[...]
Read ArticleSEC Proposes FAIR Act Rules to Promote Research Reports on Investment Funds
May 23, 2018The Securities and Exchange Commission today proposed rules and amendments that would promote research on mutual funds, exchange‑traded funds, registered[...]
Read ArticleSEC Proposes FAIR Act Rules to Promote Research Reports on Investment Funds
May 23, 2018The Securities and Exchange Commission today proposed rules and amendments that would promote research on mutual funds, exchange‑traded funds, registered[...]
Read ArticleInvesting in America: SEC Commissioners are Heading to Atlanta to Interact with Investors
May 23, 2018The Securities and Exchange Commission today announced that the five-member Commission and staff from across the agency will be in[...]
Read ArticleInvesting in America: SEC Commissioners are Heading to Atlanta to Interact with Investors
May 23, 2018The Securities and Exchange Commission today announced that the five-member Commission and staff from across the agency will be in[...]
Read ArticleSEC Charges Three Former Healthcare Executives With Fraud
May 16, 2018The Securities and Exchange Commission today announced fraud charges against three former Constellation Healthcare Technologies Inc. executives who falsified financial[...]
Read ArticleSEC Charges Owner of Alternative Investment Firm in Belize Airport Financing Scam
May 16, 2018The Securities and Exchange Commission today charged the owner of a Manhattan-based alternative investment firm with misappropriating close to $6[...]
Read ArticleThe SEC Has an Opportunity You Won’t Want to Miss: Act Now!
May 16, 2018If you’ve ever been tempted to buy into a hot investment opportunity linked with luxury travel, the Securities and Exchange[...]
Read ArticleSEC Charges Brokerage Firms and AML Officer With Anti-Money Laundering Violations
May 16, 2018The Securities and Exchange Commission today announced settled charges against broker-dealers Chardan Capital Markets LLC and Industrial and Commercial Bank[...]
Read ArticleSEC Charges Three Former Healthcare Executives With Fraud
May 16, 2018The Securities and Exchange Commission today announced fraud charges against three former Constellation Healthcare Technologies Inc. executives who falsified financial[...]
Read ArticleSEC Charges Owner of Alternative Investment Firm in Belize Airport Financing Scam
May 16, 2018The Securities and Exchange Commission today charged the owner of a Manhattan-based alternative investment firm with misappropriating close to $6[...]
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