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 Awards More Than $2.2 Million to Whistleblower Who First Reported Information to Another Federal Agency Before SEC
April 05, 2018The Securities and Exchange Commission today announced a whistleblower award of more than $2.2 million to a former company insider[...]
Read ArticleSEC Names Peter Henry as Director of the Office of Equal Employment Opportunity
April 04, 2018The Securities and Exchange Commission today announced that Peter Henry has been named Director of the agency’s Office of Equal[...]
Read ArticleSEC Warns of Government Impersonators
April 04, 2018The Securities and Exchange Commission today issued an Investor Alert warning investors of fraudsters claiming to be SEC employees in[...]
Read ArticleSEC Promotes Investor Awareness During National Financial Capability Month
April 03, 2018As part of National Financial Capability Month, the Securities and Exchange Commission's Office of Investor Education and Advocacy (OIEA) is[...]
Read ArticleSEC Halts Fraudulent Scheme Involving Unregistered ICO
April 02, 2018The Securities and Exchange Commission today charged two co-founders of a purported financial services start-up with orchestrating a fraudulent initial[...]
Read ArticleSEC Charges Fintech Company Founder With Scheme to Defraud Investors and Misappropriate Funds
April 02, 2018The Securities and Exchange Commission has charged Michael Liberty, the founder of the fintech startup now known as Mozido Inc.,[...]
Read ArticleSEC Charges Prominent Pastor, Financial Planner in Scheme to Defraud Elderly Investors
March 30, 2018The Securities and Exchange Commission yesterday charged the pastor of one of the largest Protestant churches in the country and[...]
Read ArticleBroker-Dealer Admits It Failed to File SARs
March 28, 2018Aegis Capital Corporation, a New York-based brokerage firm, has admitted that it failed to file Suspicious Activity Reports (SARs) on[...]
Read ArticleSEC Charges Recidivist Broker-Dealer in Employee’s Long-Running Pump-and-Dump Fraud
March 27, 2018The Securities and Exchange Commission announced charges against Wedbush Securities Inc. for failing to supervise employee Timary Delorme after the[...]
Read ArticleSEC Charges Energy Storage Company, Former Executive in Fraudulent Scheme to Inflate Financial Results
March 27, 2018The Securities and Exchange Commission today charged a California-based energy storage and power delivery product manufacturer and one of its[...]
Read ArticleKinross Gold Charged With FCPA Violations
March 26, 2018The Securities and Exchange Commission today announced a settled action against Canada-based Kinross Gold Corporation for Foreign Corrupt Practices Act[...]
Read ArticleSEC Stops Ponzi-Schemer Targeting Retail Investors and Obtains Preliminary Injunction and Asset Freeze
March 23, 2018The Securities and Exchange Commission today announced charges and a preliminary injunction and asset freeze against Niket Shah, a New[...]
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