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.
Douglas Scheidt, Associate Director and Chief Counsel in the Division of Investment Management, to Leave Agency After 32 Years of Public Service
April 20, 2018The Securities and Exchange Commission announced today that Douglas Scheidt, an Associate Director and the Chief Counsel in the Division[...]
Read ArticleSEC Proposes to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Investment Professionals
April 18, 2018The Securities and Exchange Commission today voted to propose a package of rulemakings and interpretations designed to enhance the quality[...]
Read ArticleFee Rate Advisory #3 for Fiscal Year 2018
April 17, 2018The Securities and Exchange Commission today announced that starting on May 22, 2018, the fee rates applicable to most securities[...]
Read ArticleSEC Unveils Public Service Announcement to Promote Background Checks on Investor.gov
April 16, 2018The Securities and Exchange Commission today unveiled a public service announcement (PSA) to encourage investors to check the background of[...]
Read ArticleSEC Staff to Host Roundtable on Market Structure for Thinly-Traded Securities
April 13, 2018The Securities and Exchange Commission today announced its staff will host a roundtable on April 23 that will address the[...]
Read ArticleSEC Awards Whistleblower More Than $2.1 Million
April 12, 2018The Securities and Exchange Commission today announced a whistleblower award of more than $2.1 million to a former company insider[...]
Read ArticleSEC Charges Texas Company, Principals in Multimillion Dollar Ponzi Scheme Targeting Seniors
April 09, 2018On April 6, 2018, the Securities and Exchange Commission charged two Texas companies and their principals in a $2.4 million[...]
Read ArticleSEC Orders Three Investment Advisers to Pay $12 Million to Harmed Clients
April 06, 2018The Securities and Exchange Commission today announced that three investment advisers have settled charges for breaching fiduciary duties to clients[...]
Read ArticleSEC Obtains Emergency Freeze of $27 Million in Stock Sales of Purported Cryptocurrency Company Longfin
April 06, 2018The Securities and Exchange Commission has obtained a court order freezing more than $27 million in trading proceeds from allegedly[...]
Read ArticleSEC Issues Agenda for April 9 Meeting of the Fixed Income Market Structure Advisory Committee
April 05, 2018The Securities and Exchange Commission today released the agenda for the Fixed Income Market Structure Advisory Committee meeting, which will[...]
Read ArticleSEC Charges Medical Device Company The Eye Machine and Founder Pocklington With Fraud
April 05, 2018The Securities and Exchange Commission today charged convicted felon and former NHL team owner Peter H. Pocklington, his medical device[...]
Read ArticleJoel R. Levin Named Director of Chicago Regional Office
April 05, 2018The Securities and Exchange Commission today announced that Joel R. Levin has been named Director of the Chicago Regional Office. [...]
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