CJ Schaible, Author at Vigilant LLC

Vigilant Compliance Newsletter | June 2024

Monthly Newsletter In June, we saw Vigilant Insights, SEC Charges and SEC Releases. Below is a brief overview of what took place in the month of […]

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 […]

Vigilant Shortlisted for Hedge Fund Compliance Award

Vigilant Announcements Building off of our With Intelligence Operations & Services Award Win earlier this year, Vigilant is thrilled to announce that we have been shortlisted as the Best Advisory Firm […]

Compliance Risks from Political Contributions | Donna DiMaria Insights

VIGILANT INSIGHTS Introduction The Pay-To-Play Rule for Investment Advisors provides on-going compliance difficulties for Firms, especially in an election year. This topic can be complex […]

Firms Struggling with the Marketing Rule | Will Clark Insights

VIGILANT INSIGHTS Introduction As the SEC investigates and charges Firms for Marketing Rule violations, it has been reported that Private Funds and Separately Managed Account […]

Cybersecurity Violations Result in $2.1 Million Penalty

SEC RELEASES Introduction A corporation was charged by the SEC on June 18th, 2024, for Cybersecurity Failures relating to control and procedure failures, along with […]

SEC Chair and Commissioners Discuss AI | SEC Releases

SEC RELEASES Introduction Artificial intelligence (“AI”) is a continued hot topic in the industry as Firms work to find efficient ways to provide services to […]

Risk Alert on Broker Dealer Examinations

SEC RELEASES Introduction The SEC released a Risk Alert on June 5th, 2024, explaining their examination processes on Broker Dealers. The Risk Alert discusses how […]

Private Fund Rule Overturned by Appeals Court

NEWS AND ALERTS Court Opinion in the 5th Circuit Introduction The Private Fund Rules adopted in August of 2023, with compliance dates for some Firms […]

How to Cooperate During SEC Investigations | SEC Releases

SEC Releases Introduction On May 23rd, SEC Director, Division of Enforcement, Gurbir Grewal, spoke at the Securities Enforcement Forum West about the importance of cooperation […]

False Statements and Conflicts of Interest | Firm and Co-Founder Charged

SEC RELEASES Introduction On May 29th, the SEC announced charges against a previous RIA and its Co-Founder for statements made to investors and undisclosed conflicts […]

Reg SCI Failures | $10 Million SEC Charge

SEC RELEASES Introduction On May 22nd, the SEC announced a $10 million penalty against a business for failing to notify the SEC of a cybersecurity […]