Blog
SEC Risk Alert Reveals Common Billing and Disclosure Deficiencies
Vigilant Insights Introduction The SEC recently issued a Risk Alert highlighting deficiencies identified during examinations of Investment Advisers related to fee billing practices, compensation arrangements, […]
Read MoreTurning SEC Exam Downtime into Opportunity | Chuck Martin Insights
Vigilant Insights Introduction As the government shutdown continues to stall regulatory operations, many Firms undergoing SEC Examinations have been left in an uncertain position. With […]
Read MoreIs Deepseek AI Safe to Use? | Chuck Martin Insights
VIGILANT INSIGHTS Introduction When the AI model, DeepSeek, was announced recently, investors reacted swiftly to a high-performance AI model with allegedly only $6 million in […]
Read MoreSEC’s Anticipated Regulatory Outlook | Chuck Martin Insights
Vigilant Insights Introduction The SEC started off their Fiscal Year with a record number of enforcement actions. As the industry anticipates a change in the regulatory environment, […]
Read MoreOutsourced 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 […]
Read MoreA 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 […]
Read MoreSEC 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 […]
Read MoreFirst 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 […]
Read MoreMoving 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, […]
Read MoreSEC’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 […]
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 […]
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