Chuck Martin Insights Archives

Outsourced Compliance Considerations | Chuck Martin Insights

Vigilant Insights Introduction As Firms continue to commit more time and resources to compliance, many choose to partner with compliance consultants to either fill their […]

A Partnership Driven Compliance Provider | Vigilant

Vigilant Insights Introduction With Vigilant’s recent Award Win as Best Regulatory Advisory & Compliance Firm by Institutional Asset Manager (“IAM”), we dove deeper into why we believe we won the […]

SEC Continues Sweep for AI | Chuck Martin Insights on FundFire

Vigilant Insights Introduction The industry continues to evaluate the implications of the SEC’s ongoing sweep involving AI use. In addition to a recent Wall Street Journal article, Vigilant’s […]

First SEC Enforcement Related to Marketing Rule | Chuck Martin Reacts

Vigilant Insights Brief Introduction On Monday, August 21st, the SEC released its first enforcement action related to the new Marketing Rule. A New York based FinTech Investment […]

Moving to a Proactive Compliance Approach | Vigilant Insights

Vigilant Insights Brief Introduction Vigilant was recently awarded Best Regulatory Advisory & Compliance Firm by Hedgeweek. Following up from the award announcement, our President & CEO, Salvatore Faia, JD, […]

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 […]

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 […]

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. […]