CJ Schaible, Author at Vigilant LLC

Vigilant Compliance Newsletter | May 2025

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

Rulemaking and Economic Analysis | Paul Atkins Remarks

SEC RELEASES Introduction On May 16, 2025, the SEC Chair, Paul Atkins, spoke at the 12th annual conference on Financial Market Regulation. Compliance professionals have […]

Adopted Amendments to Reg S-P

SEC Releases Introduction The Acting Director, Division of Examinations, Keith Cassidy, spoke last week about the approach the Division takes regarding the adopted amendments to […]

IAA Requests Reconsideration of AML Rules | Maxwell Baker Insights

Vigilant Insights Introduction The Investment Advisor Association (IAA) has asked for the comment period to be reopened for rules approved last year by the SEC […]

SEC Chair Paul Atkins Remarks at SEC Town Hall

SEC RELEASES Introduction With the SEC under new management, Firms are wondering how they can best adjust their compliance programs for a new regulatory landscape. Industry experts pull from […]

Vigilant Compliance Newsletter | April 2025

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

$2.9 Million Charge to RIA for Breach of Fiduciary Duty

SEC RELEASES Introduction An RIA was charged by the SEC on April 25th, 2025, for failing to disclose conflicts of interest, violating their fiduciary duty. […]

ETF/Mutual Fund Dual Share Class Anticipated Approval | Salvatore Faia Insights

Vigilant Insights Introduction It is anticipated that the SEC may approve the majority of exemptive relief applications for the dual share class structure. This will […]

Compliance Consulting Reimagined Under the SEC’s New Direction

Vigilant Insights Introduction With Paul Atkins now leading the SEC, there is a noticeable shift in regulatory philosophy that emphasizes transparency, consistency, and a less […]

SEC Cracks Down on AI Misrepresentation

SEC RELEASES Introduction On April 11th, 2025, the SEC charged a Founder and Former CEO (“CEO”), for allegedly defrauding investors by making false and misleading […]

SEC Unveils Structural Overhaul of Enforcement Division

News and Alerts Introduction It was recently reported that the SEC has reorganized the command structure for the Divisions of Enforcement and Exams. Previously, the […]

Maximize Compliance Efficiency: The Case for an Outsourced CCO

Vigilant Insights Introduction The decision to transition to an outsourced Chief Compliance Officer (“CCO”) is often driven by a variety of practical considerations, particularly in […]