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Vigilant in the News

For press inquiries, contact potential@vigilantllc.com.

DateHeadline
8/22/23Vigilant’s President & CEO, Salvatore Faia, shared his thoughts on BoardIQ regarding Dimensional’s ETF Class and the ETF Share Class as a whole
8/21/23Vigilant’s Managing Director, Bernadette Murphy, reacted to the “Tsunami of new rules” by the SEC on InvestmentNews
8/21/23Vigilant’s Chief Operating Officer, Chuck Martin, provided his thoughts and insights on InvestmentNews toward the first SEC enforcement related to the Marketing Rule
8/17/23Vigilant’s Director, Michael Hogan, provided his insights on The Information regarding the importance of employee monitoring for off-channel communications
8/9/23Vigilant’s Senior Vice President, Salvatore Faia II, was quoted in Ignites regarding the Recordkeeping Failures discovered by the SEC emphasizing the importance of archiving all business communication
8/9/23Vigilant’s Vice President of Sales and Business Development, CJ Schaible, was quoted in Financial Advisor IQ emphasizing the importance of closely monitoring all communications mediums of employees as it relates to the SEC Charges on Recordkeeping Failures
8/9/23Vigilant’s Director, Fred Teufel, provided his thoughts and insights on a new Proposed Rule by the SEC related to conflicts of interest in predictive data analysis
8/4/23Vigilant’s Managing Director, Bernadette Murphy, was quoted in Ignites highlighting why due diligence is crucial as it relates to the new Cyber Rule
6/19/2023Vigilant’s Director, Donna DiMaria, Spotlight in ETF Express on the Marketing Rule Risk Alert
3/21/23Vigilant’s Director, Brian Dillon, Quoted In BoardIQ Regarding Recent Examination Document Production Requests From The SEC Related To The Use Of Text Messages And Other Electronic Communication.
2/21/23Vigilant’s Director, Fred Teufel, quoted in BoardIQ on SEC Exams to Probe Boards’ Contract Renewal Processes
2/13/23Vigilant, 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)
9/27/22Vigilant'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
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
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’s Vice President of Sales and Business Development, CJ Schaible, was quoted in Financial Advisor IQ emphasizing the importance of closely monitoring all communications mediums of employees as it relates to the SEC Charges on Recordkeeping Failures