Vigilant Insights Archives - Page 11 of 13

What Is a Compliance Risk Matrix & Why Is It So Important?

Risk, for businesses, is any threat that gets in the way of a company’s goals. Compliance risks are anything that threatens your company’s reputation, organizational […]

Vigilant’s COO, Chuck Martin, and Manager, Ryan Hurley, Quoted in Ignites on the Newly Effective Fair Value Rule

Brief Introduction Chuck Martin and Ryan Hurley were both quoted in Ignites providing their thoughts and insights towards the SEC’s Fair Value Rule that is now effective as of today, September 8th, […]

Vigilant’s COO, Chuck Martin, Quoted in BoardIQ on the SEC’s Drafted Strategic Plan

Brief Introduction Chuck Martin, MBA, was quoted in BoardIQ providing his thoughts and insights towards the SEC’s Drafted Strategic Plan that was originally released on August 24th, 2022. […]

Vigilant’s COO, Chuck Martin, and Manager, Ryan Hurley, Provide Insights Toward the Newly Effective Derivatives Rule

Brief Introduction Chuck Martin and Ryan Hurley were both quoted on Regulatory Compliance Watch providing their thoughts and insights towards the SEC’s Derivatives Rule that is now effective as […]

Vigilant’s COO, Chuck Martin, Presented on the Marketing Rule at the 2022 PMAR Conference

At this year’s 2022 PMAR Conference hosted by The Spaulding Group, Vigilant’s Chief Operating Officer, Chuck Martin, and K&L Gates Of Council, Pamela Grossetti, presented on the SEC Marketing […]

5 Common ESG Deficiencies Found From SEC Examinations

5 Common ESG Deficiencies Found From SEC Examinations Vigilant has seen 5 common ESG Deficiencies found during SEC examinations below: Failure to address the review […]

Industry Pushback Toward SEC’s Proposed Rules on Climate Related Disclosures

Brief Introduction On March 21st, the SEC released proposed rule changes for certain climate-related disclosures to provide investors with consistent, comparable, and decision-useful information for making their investment […]

5 Current Trends in Compliance

Brief Introduction to the Trends in Compliance As we get closer to Q3, we have seen a lot of forecasted trends for 2022 already taking […]

2021 SEC Examination Priorities vs. 2022 SEC Examination Priorities

Brief Introduction to the 2022 SEC Examination Priorities With the release of the 2022 SEC Examination Priorities at the end of March, it is valuable […]

The Marketing Rule One Year Later

Brief Introduction to the SEC’s Marketing Rule Priorities in 2022 With the SEC Marketing Rule becoming effective November 4th, 2022, it is important to revisit […]

Vigilant’s COO, Chuck Martin, Quoted In BoardIQ On 2022 Exam Priorities

Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, was quoted in BoardIQ where he discussed his initial thoughts and analysis towards the 2022 Exam Priorities. […]

7 Tips to Prevent a Cyber Attack for Advisor Firms and Their Clients

Brief Introduction FINRA recently released a Cybersecurity Alert to warn Advisor Firms and their clients of potential Russian cyberattacks targeting US organizations. Preventing a Cyber Attack is […]