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 Former Bitcoin-Denominated Exchange and Operator With Fraud
February 21, 2018The Securities and Exchange Commission today charged a former bitcoin-denominated platform and its operator with operating an unregistered securities exchange[...]
Read ArticleSEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures
February 21, 2018Yesterday, the Securities and Exchange Commission voted unanimously to approve a statement and interpretive guidance to assist public companies in[...]
Read ArticleSEC Obtains Bars and Suspensions Against Individuals and Accounting Firm in Shell Factory Scheme
February 16, 2018The Securities and Exchange Commission today announced charges against three Israeli residents, a Washington, D.C. attorney, and an Israeli auditor[...]
Read ArticleSEC Suspends Trading in Three Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
February 16, 2018The Securities and Exchange Commission today suspended trading in three companies amid questions surrounding similar statements they made about the[...]
Read ArticleKyle Moffatt Named Chief Accountant in Division of Corporation Finance
February 15, 2018The Securities and Exchange Commission today announced that Kyle Moffatt has been named Chief Accountant in the Division of Corporation[...]
Read ArticleKaren Garnett, Associate Director of Division of Corporation Finance, to Leave Agency After 23 Years of Service
February 15, 2018The Securities and Exchange Commission today announced that Karen Garnett, an Associate Director in the Division of Corporation Finance, will[...]
Read ArticleSEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
February 13, 2018The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment[...]
Read ArticleAlberto Arevalo, Associate Director in the Office of International Affairs, to Retire From SEC
February 13, 2018The Securities and Exchange Commission today announced that Alberto Arevalo, an associate director in the Office of International Affairs, will[...]
Read ArticleSEC Launches Share Class Selection Disclosure Initiative to Encourage Self-Reporting and the Prompt Return of Funds to Investors
February 12, 2018The Division of Enforcement of the Securities and Exchange Commission today announced a self-reporting initiative that seeks to protect advisory[...]
Read ArticleInvestor Protection, Capital Formation and Market Integrity Are Top Priorities in SEC Budget Request
February 12, 2018The Securities and Exchange Commission today announced a $1.658 billion budget request for fiscal year 2019 to support its core[...]
Read ArticleDeutsche Bank to Repay Misled Customers
February 12, 2018The Securities and Exchange Commission today instituted an enforcement action against Deutsche Bank Securities Inc., which has agreed to repay[...]
Read ArticleSEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities
February 07, 2018The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) today announced its 2018 examination priorities. OCIE publishes its[...]
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