Vigilant Insights Archives - Page 13 of 15

SEC’s Proposed Rule on Outsourcing | Chuck Martin Reacts

Vigilant Insights Brief Introduction On October 27, 2022, the Securities and Exchange Commission (“SEC”) proposed Rule 206(4)-11 under the Investment Advisers Act of 1940 (“Advisers Act”) which […]

7 Tips To Build A Successful Compliance Program

Vigilant Insights Brief Introduction Regulatory errors can be costly, not only from a fine and disgorgement perspective, but from a business and reputational perspective. It has become […]

7 Steps to Maintain Compliance with the Marketing Rule

Vigilant Insights Brief Introduction The New Marketing Rule goes into full effect November 4th 2022. Firms across the industry should be taking immediate action to ensure that […]

SEC’s Examination Approach on Rule 18f-4 | Chuck Martin Reacts

Chuck Martin Observations | Vigilant Insights Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, provided his thoughts on BoardIQ that focuses on the SEC’s examination of Fund […]

SEC Examination on Derivatives Rule | Chuck Martin Insights

Brief Introduction Vigilant’s Chief Operating Officer, Chuck Martin, provided his insights on BoardIQ that focuses on the SEC’s examination of a Fund’s Compliance with their […]

“Do It Yourself” Compliance | 5 Unintended Outcomes

Brief Introduction Many firms underestimate the importance of a designated compliance team supporting their business. A common theme we have seen throughout the industry are firms designating a […]

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 […]