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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, […]

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How Outsourced Compliance Could Benefit Your Firm

  Vigilant Insights Brief Introduction When it comes to compliance, many CEOs will ask themselves if outsourcing or co-sourcing their compliance is an efficient, safe, […]

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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 […]

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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 […]

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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 they […]

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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 […]

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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 […]

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“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 […]

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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, […]

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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. […]

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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 […]

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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 […]

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