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 Ameriprise With Overcharging Retirement Account Customers for Mutual Fund Shares
February 28, 2018The Securities and Exchange Commission today announced that a Minnesota-based broker-dealer and investment adviser has agreed to settle charges for[...]
Read ArticleSEC Announces Agenda for March 8 Investor Advisory Committee Meeting
February 27, 2018The Securities and Exchange Commission today announced the agenda for the March 8 meeting of its Investor Advisory Committee. The[...]
Read ArticleSEC Votes to Modify Compliance Date for Open-End Fund Liquidity Classification
February 22, 2018The Securities and Exchange Commission today voted to extend by six months the deadline by which open-end funds must comply[...]
Read ArticleSEC 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[...]
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