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 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[...]
Read ArticleBroker Charged With Repeatedly Putting Customer Assets At Risk
March 19, 2018The Securities and Exchange Commission today announced that Electronic Transaction Clearing (ETC), a registered broker-dealer headquartered in Los Angeles, has agreed[...]
Read ArticleSEC Announces Its Largest-Ever Whistleblower Awards
March 19, 2018The Securities and Exchange Commission today announced its highest-ever Dodd-Frank whistleblower awards, with two whistleblowers sharing a nearly $50 million[...]
Read ArticleSEC Proposes Transaction Fee Pilot for NMS Stocks
March 14, 2018The Securities and Exchange Commission today voted to propose new Rule 610T of Regulation NMS to conduct a Transaction Fee[...]
Read ArticleSEC Proposes Targeted Changes to Public Liquidity Risk Management Disclosure
March 14, 2018The Securities and Exchange Commission today proposed amendments to public liquidity-related disclosure requirements for certain open-end investment management companies. Under[...]
Read ArticleTheranos, CEO Holmes, and Former President Balwani Charged With Massive Fraud
March 14, 2018The Securities and Exchange Commission today charged Silicon Valley-based private company Theranos Inc., its founder and CEO Elizabeth Holmes, and[...]
Read ArticleFormer Equifax Executive Charged With Insider Trading
March 14, 2018The Securities and Exchange Commission today charged a former chief information officer of a U.S. business unit of Equifax with[...]
Read ArticleForeign Affiliates of KPMG, Deloitte, BDO Charged in Improper Audits
March 13, 2018The Securities and Exchange Commission today charged foreign affiliates of KPMG, Deloitte & Touche, and BDO for their involvement in[...]
Read ArticleForeign Affiliates of KPMG, Deloitte, BDO Charged in Improper Audits
March 13, 2018The Securities and Exchange Commission today charged foreign affiliates of KPMG, Deloitte & Touche, and BDO for their involvement in[...]
Read Article