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Vigilant in the News

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DateHeadline
2/21/23Vigilant’s Director, Fred Teufel, quoted in BoardIQ on SEC Exams to Probe Boards’ Contract Renewal Processes
02/13/23Vigilant, COO, Chuck Martin, quoted in Ignites on 12b-1 Fees in Fund-to-ETF Conversions
2/7/23Vigilant’s Director, Fred Teufel, quoted in BoardIQ on Repeat Violations by Advisors’ Parents causing concern for Fund Directors
10/27/22Vigilant's Chief Operating Officer, Chuck Martin, was quoted in Ignites where he provided his insights and initial reaction toward the SEC's Proposed Rule for Outsourcing Services by Investment Advisers.
10/04/22Vigilant’s COO, Chuck Martin, was Quoted in BoardIQ on the SEC's Examination of Fund Compliance with the new Derivatives Rule (18f-4)
09/27/22Vigilant's Chief Operating Officer, Chuck Martin, was Quoted in BoardIQ on the SEC's Examination of the New Derivatives Rule
9/7/22Vigilant’s Chief Operating Officer, Chuck Martin, and Manager, Ryan Hurley, Quoted In Ignites on the newly effective fair value rule
8/24/22Vigilant's COO, Chuck Martin, quoted in BoardIQ on the SEC's Drafted Strategic Plan
8/11/22Vigilant's COO, Chuck Martin, and Manager, Ryan Hurley, comment on the SEC's derivatives rule for Regulatory Compliance Watch.
8/9/2022Vigilant's COO, Chuck Martin, Presents on the Marketing Rule at the 2022 PMAR Conference
4/19/22Vigilant’s Chief Operating Officer, Chuck Martin, Quoted In BoardIQ on 2022 Exam Priorities
4/8/22Vigilant’s Managing Director, Justin Dausch, Quoted In Ignites On Share Class Exams
2/7/22Vigilant’s Chief Operating Officer, Chuck Martin, was quoted in Ignites, where he provided his insights on the anticipated Proposed Cyber Rule for RIAs and Funds
9/15/21Justin Dausch, Quoted on Ignites Cybersecurity Rules Release with SEC Chairman, Gary Gensler
4/14/21Vigilant's Managing Director, Perpetua Seidenberg, joins the NYSE for "The ETF Exchange" Show
3/10/21From A Distance: Prospecting Propelled Into Digital Age
2/22/21Ad Rule May Push Shops to Ban Social Media
2/9/21Vigilant Compliance Announces Strategic Shift in Its Business Model From Traditional Compliance to Comprehensive Solutions Provider
2/5/21FINRA to Ramp Up Reg Bi Exams in 2021
12/29/20Vigilant COO, Chuck Martin, provides insights towards the new Marketing Rule
11/11/20Vigilant names top industry veteran, John Brett, to lead its Broker Dealer Division