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 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. [...]
Read ArticleSEC 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[...]
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