| 9/18/24 | Vigilant Director, Fred Teufel, IACCP, MSJ, was quoted in a recent FundFire article discussing the implications of recent Form 13F Filing failures.
|
| 9/6/24 | Vigilant Director, Liam Clarke, CPA, MA provided his insights in a recent Ignites article regarding recent disclosure amendments involving N-PORT and N-CEN filings.
|
| 8/29/24 | Vigilant Director, Fred Teufel, CPA, MBA, CGMA, provided some background on the Swing Pricing Rule, Forms N-PORT, and N-CEN in an article by Ignites.
|
| 8/26/24 | Vigilant Director, Will Clark, CIPM, MBA, was quoted in a recent FundFire article discussing the relatively black and white nature of Custody Rule Violation Charges.
|
| 8/23/24 | Vigilant Director, Will Clark, CIPM, MBA, was quoted in FundFire discussing the seriousness of Misleading Statements charges. |
| 8/21/24 | Vigilant Director, Bernadette Murphy, MSL, was quoted in a Financial Advisor IQ article providing important insights and takeaways from recent Recordkeeping enforcements. |
| 8/21/24 | Vigilant Director, Maxwell Baker, Esq., was quoted in a recent FundFire article discussing the compliance implications of Pay-To-Play Rule Charges. |
| 8/15/24 | Vigilant Director, Donna DiMaria, MBA, was quoted in a CQ Roll Call article discussing the implications of Off-Channel Communications Charges.
|
| 8/13/24 | Vigilant Director, Fred Teufel, CPA, MBA, CGMA, was quoted in a recent BoardIQ article discussing the on-going SEC Sweeps. |
| 8/9/24 | Vigilant Director, Liam Clarke, CPA, MA, provided his insights on the major changes the Tailored Shareholder Reports Rule is already causing in the way that Firms present information to shareholders. |
| 7/23/24 | Vigilant Director, Liam Clarke, CFA, MA, provided his insights on how certain requirements from the SEC’s Tailored Shareholder Reports Rule create a unique situation for performance reporting. |
| 7/8/24 | Vigilant Director, Maxwell Baker, provided his insights on FundFire relating to the Supreme Court overturning the Chevron Doctrine. |
| 6/14/24 | Vigilant Director, Will Clark, provided his thoughts on how the transitions required by the Marketing Rule may have affected SMA managers differently from Private Funds. |
| 6/7/24 | Vigilant Director, Donna DiMaria, provided her thoughts on the compliance considerations surrounding the Pay-to-Play rule and insights for Firms looking to stay compliant. |
| 5/8/24 | Vigilant Director, Thayne Gould, provided his insights on Ignites relating to the dangers of Social Media Influencers. |
| 4/22/24 | Vigilant Director, Thayne Gould, provided his reaction and insights on FundFire focused on the recent Marketing Rule Risk Alert. |
| 3/22/24 | Vigilant Managing Director, Patrick Chism, was quoted in an Ignites article related to the FINRA investigation of a Firm for its use of fee-waivers. |
| 3/19/24 | Vigilant Director, Frederick Teufel, provided his thoughts and insights on FundFire regarding the recent SEC charge relating to misleading AI statements. |
| 2/12/24 | Vigilant Director, Chelsea Bosiljevac, provided her insights towards the SEC’s $81 Million Fine against multiple Firms for Recordkeeping Failures. |
| 12/22/23 | Vigilant Director, Fred Teufel, was quoted in a recent article by Chief Investment Officer Magazine that discussed the impact AI can have on Institutional Investors. |
| 12/13/23 | Vigilant’s Chief Operating Officer, Chuck Martin, provided comments and insights regarding the implications of the SEC’s ongoing sweep involving AI use on FundFire. |
| 12/12/23 | Vigilant’s President & CEO, Salvatore Faia, JD, CPA, CFE, provided his insights regarding the one year anniversary of the Rule 2a-5 Valuation Rule on a Video Interview with BoardIQ. |
| 12/10/23 | Vigilant’s Chief Operating Officer, Chuck Martin, discussed the SEC’s AI Sweep Exam on The Wall Street Journal, who was one of the first release an article on this. |
| 11/20/23 | Vigilant Director, Fred Teufel, and Vice President of Sales and Business Development, CJ Schaible, provided their reaction on Ignites regarding the SEC displaying a heightened focus on AI.
|
| 11/20/23 | Vigilant Director, Thayne Gould, provided his insights on InvestmentNews towards a recently filed FINRA Projected Performance Proposal. |
| 11/16/23 | Vigilant’s Vice President of Sales and Business Development, CJ Schaible, provided his thoughts and reaction towards the SEC’s Fiscal Year 2023 Enforcement Results.
|
| 11/13/23 | Vigilant Director, Thayne Gould, created a detailed Thought Leadership article hosted on Wealth Solutions Report towards complying with the Marketing Rule one (1) year later.
|
| 10/31/23 | Vigilant Director, Fred Teufel, provided his thoughts on BoardIQ towards the SEC’s heightened focus on Tech during Examinations.
|
| 9/25/23 | Vigilant Managing Director, Bernadette Murphy, gave insight on InvestmentNews into how the SEC conducts its sweeps related to the Marketing Rule.
|
| 9/22/23 | Vigilant Director, Will Clark, provided useful insights on Financial Advisor IQ towards the regulatory differences in regard to maintaining records of communications between Registered Investment Advisers (“RIAs”) and Broker Dealers.
|
| 9/13/23 | Vigilant Director, Fred Teufel, provided his insights and reaction on Ignites towards a request made to the SEC by a $44 million interval fund to extend its deadline for quarterly and annual shareholder reports. |
| 9/12/23 | Vigilant Director, Thayne Gould, provided his thoughts towards the recent SEC Marketing Rule violations and what firms should be focusing on to help avoid those violations. |
| 8/25/23 | Vigilant Director, Fred Teufel, provided his insights on Ignites toward the major overhaul of resources that would be needed for the AI Proposal.
|
| 8/22/23 | Vigilant’s President & CEO, Salvatore Faia, shared his thoughts on BoardIQ regarding Dimensional’s ETF Class and the ETF Share Class as a whole
|
| 8/21/23 | Vigilant’s Managing Director, Bernadette Murphy, reacted to the “Tsunami of new rules” by the SEC on InvestmentNews
|
| 8/21/23 | Vigilant’s Chief Operating Officer, Chuck Martin, provided his thoughts and insights on InvestmentNews toward the first SEC enforcement related to the Marketing Rule
|
| 8/17/23 | Vigilant’s Director, Michael Hogan, provided his insights on The Information regarding the importance of employee monitoring for off-channel communications
|
| 8/9/23 | Vigilant’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 |
| 8/9/23 | Vigilant’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 |
| 8/9/23 | Vigilant’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 |
| 8/4/23 | Vigilant’s Managing Director, Bernadette Murphy, was quoted in Ignites highlighting why due diligence is crucial as it relates to the new Cyber Rule |
| 6/19/2023 | Vigilant’s Director, Donna DiMaria, Spotlight in ETF Express on the Marketing Rule Risk Alert |
| 3/21/23 | Vigilant’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. |
| 2/21/23 | Vigilant’s Director, Fred Teufel, quoted in BoardIQ on SEC Exams to Probe Boards’ Contract Renewal Processes |
| 2/13/23 | Vigilant, COO, Chuck Martin, quoted in Ignites on 12b-1 Fees in Fund-to-ETF Conversions |
| 2/7/23 | Vigilant’s Director, Fred Teufel, quoted in BoardIQ on Repeat Violations by Advisors’ Parents causing concern for Fund Directors
|
| 10/27/22 | Vigilant'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. |
| 10/04/22 | Vigilant’s COO, Chuck Martin, was Quoted in BoardIQ on the SEC's Examination of Fund Compliance with the new Derivatives Rule (18f-4) |
| 9/27/22 | Vigilant's Chief Operating Officer, Chuck Martin, was Quoted in BoardIQ on the SEC's Examination of the New Derivatives Rule |
| 9/7/22 | Vigilant’s Chief Operating Officer, Chuck Martin, and Manager, Ryan Hurley, Quoted In Ignites on the newly effective fair value rule |
| 8/24/22 | Vigilant's COO, Chuck Martin, quoted in BoardIQ on the SEC's Drafted Strategic Plan |
| 8/11/22 | Vigilant's COO, Chuck Martin, and Manager, Ryan Hurley, comment on the SEC's derivatives rule for Regulatory Compliance Watch. |
| 8/9/2022 | Vigilant's COO, Chuck Martin, Presents on the Marketing Rule at the 2022 PMAR Conference |
| 4/19/22 | Vigilant’s Chief Operating Officer, Chuck Martin, Quoted In BoardIQ on 2022 Exam Priorities |
| 2/7/22 | Vigilant’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 |
| 4/14/21 | Vigilant's Managing Director, Perpetua Seidenberg, joins the NYSE for "The ETF Exchange" Show |
| 3/10/21 | From A Distance: Prospecting Propelled Into Digital Age |
| 2/22/21 | Ad Rule May Push Shops to Ban Social Media |
| 2/9/21 | Vigilant Compliance Announces Strategic Shift in Its Business Model From Traditional Compliance to Comprehensive Solutions Provider |
| 2/5/21 | FINRA to Ramp Up Reg Bi Exams in 2021 |
| 12/29/20 | Vigilant COO, Chuck Martin, provides insights towards the new Marketing Rule |
| 11/11/20 | Vigilant’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 |
