CJ Schaible, Author at Vigilant LLC

Vigilant Compliance Newsletter | January 2024

Monthly Newsletter In January, we saw multiple Vigilant Insights, SEC Releases, and News and Alerts throughout the Industry. Below is a brief overview of what took […]

Vigilant 2024 Compliance Calendar | Download Here

Vigilant Insights Introduction As you continue to prepare for the new year, be sure to check out Vigilant’s 2024 Regulatory Filings Calendar, which includes Filing Deadlines for each […]

Reg BI Violations | Broker Suspended

News and Alerts Introduction FINRA has suspended a Broker for 18 months due to violations of Regulation Best Interest (“Reg BI”). These violations were discovered during a FINRA Exam […]

SEC Adopts Rules Relating to SPACs, Shell Companies, and Projections

SEC Releases Introduction On January 24th, the SEC adopted final rules and amendments to enhance disclosures and provide additional investor protections in initial public offerings (IPOs) by special purpose […]

A 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 […]

Potential 2024 SEC Rule Adoptions

Vigilant Insights Introduction With the Fiscal Year 2024 well underway, following two years of record-breaking enforcement numbers from the SEC, it is important for the industry to […]

7 Effective Compliance Strategies for 2024

Establish a Plan of Action for 2024 Preparing for 2024 With the new year in effect, it is important to have a strong focus on your Compliance budgets to […]

Electronic Communication Recordkeeping and SEC Enforcements

Vigilant Insights Introduction Electronic communication recordkeeping and supervision continue to be a priority for the SEC during Examinations; they have indicated that the fines will […]

Top SEC Releases and Vigilant Insights from 2023

Vigilant Insights “For an Understanding of the Future, look at the Past” As we start the first quarter of 2024, it is important to look […]

How to Prepare for an SEC Examination | Vigilant Insights

Vigilant Insights Introduction After almost $5 billion in SEC charges from enforcement activity in FY 2023, Firms are recognizing the importance of being prepared. SEC Examinations can be […]

Private Equity Adviser Charged $4 Million for Compliance Failures

SEC Releases Introduction The SEC announced on December 26th that a New York Private Equity RIA was charged for Policies and Procedures failures, specifically related to failing to supervise. These failures […]

AI Risks for Institutional Investors | Fred Teufel Insights

Vigilant Insights Introduction Artificial Intelligence (“AI”) continues to be a concern for the compliance industry. Vigilant Director, Fred Teufel, CPA, MBA, CGMA, was quoted in a […]