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.
The 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 Names James Reese Chief Risk and Strategy Officer of the Office of Compliance Inspections and Examinations
May 15, 2018The Securities and Exchange Commission today announced that James Reese has been named the Chief Risk and Strategy Officer of[...]
Read ArticleSEC Files Charges in International Manipulation Scheme
May 15, 2018The Securities and Exchange Commission today charged four individuals for their roles in a fraudulent scheme that generated nearly $34[...]
Read ArticleSEC Names Caryn E. Kauffman as Chief Financial Officer
May 15, 2018The Securities and Exchange Commission today announced that Caryn E. Kauffman has been named the agency's Chief Financial Officer (CFO).[...]
Read ArticleSEC Names James Reese Chief Risk and Strategy Officer of the Office of Compliance Inspections and Examinations
May 15, 2018The Securities and Exchange Commission today announced that James Reese has been named the Chief Risk and Strategy Officer of[...]
Read ArticleSEC Files Charges in International Manipulation Scheme
May 15, 2018The Securities and Exchange Commission today charged four individuals for their roles in a fraudulent scheme that generated nearly $34[...]
Read ArticleSEC Names Caryn E. Kauffman as Chief Financial Officer
May 15, 2018The Securities and Exchange Commission today announced that Caryn E. Kauffman has been named the agency's Chief Financial Officer (CFO).[...]
Read ArticleSEC Charges Hedge Fund Adviser With Deceiving Investors by Inflating Fund Performance
May 09, 2018The Securities and Exchange Commission today announced that it has charged New York-based investment adviser Premium Point Investments LP with[...]
Read ArticleSEC Levies Fraud Charges Against Texas-Based Municipal Advisor, Owner for Lying to School District
May 09, 2018The Securities and Exchange Commission today announced it charged a registered municipal advisor and its owner with defrauding a south[...]
Read ArticleSEC Charges Hedge Fund Adviser With Deceiving Investors by Inflating Fund Performance
May 09, 2018The Securities and Exchange Commission today announced that it has charged New York-based investment adviser Premium Point Investments LP with[...]
Read ArticleSEC Levies Fraud Charges Against Texas-Based Municipal Advisor, Owner for Lying to School District
May 09, 2018The Securities and Exchange Commission today announced it charged a registered municipal advisor and its owner with defrauding a south[...]
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