Vigilant Insights
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 […]
Read MoreSEC’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 […]
Read MoreSEC 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 […]
Read More“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 […]
Read MoreWhat 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 […]
Read MoreVigilant’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, […]
Read MoreVigilant’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. […]
Read MoreVigilant’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 […]
Read MoreVigilant’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 […]
Read More5 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 […]
Read MoreIndustry 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 […]
Read More5 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 […]
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