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 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[...]
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[...]
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