CJ Schaible, Author at Vigilant LLC

Vigilant Compliance Newsletter | May 2026

Monthly Newsletter Printer Friendly Version In May, there were important releases including Vigilant Events, Vigilant Insights and SEC Releases. Below is a brief overview of what took […]

$201K Reg BI Enforcement Action: Lessons for Firms

SEC Releases Introduction The SEC charged a New York based Broker Dealer with failing to comply with Regulation Best Interest (“Reg BI”) in connection with Mutual Fund recommendations and […]

Breakaway Advisor Compliance: Where to Start

Vigilant Insights Introduction More Financial Advisors are choosing to leave Broker Dealers and Wirehouses to launch or join independent Registered Investment Advisers (“RIAs”) in pursuit […]

SEC Enforcement: What’s Ahead for Private Markets

Vigilant Insights Introduction In remarks at the MFA Legal & Compliance 2026 Conference, David Woodcock, Director of the SEC Division of Enforcement, outlined how he […]

Reg S-P Webinar Replay | Vigilant Events

Vigilant Events On Thursday, May 7th, 2026, Vigilant participated in a co-hosted Reg S-P Webinar with it’s affiliated Cybersecurity Firm, SilverPillar Cyber Advisors, as well as Stradley […]

SEC Leadership Signals Regulatory Priorities in Latest Conference Remarks

SEC Releases Introduction At the SEC’s 13th Annual Conference on Financial Market Regulation, SEC Chairman Paul Atkins, SEC Commissioner Mark Uyeda, and SEC Commissioner Hester […]

Navigating Cyber Threats: What RIAs Should Be Doing Now

Vigilant Insights Introduction Cybersecurity continues to be a growing area of focus for Registered Investment Advisers (“RIAs”), particularly as data breaches impact Firms of all […]

Vigilant Compliance Newsletter | April 2026

Monthly Newsletter Printer Friendly Version In April, there were important releases including Vigilant Events, Vigilant Announcements, Vigilant Insights and SEC Releases. Below is a brief overview of […]

Reg S-P Webinar | Vigilant Events

Vigilant Events Reg S-P Webinar Registration Vigilant will be participating in a co-hosted webinar with it’s affiliated Cybersecurity Firm, SilverPillar Cyber Advisors, as well as Stradley Ronon, […]

SEC Charges Private Fund Adviser for Excess Fees and Misstatements

SEC Releases Introduction On April 9, 2026, the SEC filed a civil enforcement action against a Private Fund Investment Adviser and its Principal in the […]

When Do RIAs Consider an OCCO? | 5 Scenarios

Vigilant Insights Introduction For SEC RIAs, the compliance function has become increasingly complex, resource-intensive, and scrutinized. Regulatory expectations continue to evolve, requiring Firms to maintain […]

SEC & CFTC Propose Form PF Changes to Reduce Private Fund Reporting Burdens

SEC Releases Introduction The SEC and CFTC jointly proposed amendments to Form PF aimed at reducing reporting burdens for Private Fund Advisers while still preserving […]