CJ Schaible, Author at Vigilant LLC

Vigilant Compliance Newsletter | December 2023

Monthly Newsletter In December, we saw Vigilant Insights, Announcements, News and Alerts throughout the Industry. Below is a brief overview recapping what took place in the month […]

Rule 2a-5 Valuation Rule | Salvatore Faia Video Interview with BoardIQ

Vigilant Insights Vigilant’s President & CEO, Salvatore Faia, JD, CPA, CFE, provided his insights regarding the one year anniversary of the Rule 2a-5 Valuation Rule on a Video […]

SEC Continues Sweep for AI | Chuck Martin Insights on FundFire

Vigilant Insights Introduction The industry continues to evaluate the implications of the SEC’s ongoing sweep involving AI use. In addition to a recent Wall Street Journal article, Vigilant’s […]

Vigilant Shortlisted as Best Compliance Advisory Firm for 2024

Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance Advisory Firm for the Fund Intelligence Operations & Services Awards 2024. The Fund […]

Private Funds Forced to Adapt to Ongoing SEC Regulations

News and Alerts Introduction 2023 saw an adoption of new rules and amendments that affect Private Funds and those that advise them. As the regulatory requirements for Private Funds […]

Vigilant Awarded as Best Regulatory & Compliance Adviser

Vigilant Announcements Vigilant is thrilled to announce that we have been awarded as the 2023 Best Regulatory & Compliance Adviser by Institutional Asset Manager. The Institutional […]

SEC Exam Sweeps for AI Use | Chuck Martin Reacts on WSJ

Vigilant Insights Introduction The use of Artificial Intelligence (“AI”) by RIAs is one of many focuses for the SEC’s Division of Examinations. With the SEC’s Proposed Rule related to AI use […]

Increased Compliance Investments Indicated by Survey

News and Alerts Introduction Ignites conducted a survey that provides some insight into the actions taken by firms amid our aggressive regulatory climate. We discussed […]

AI and SEC Exams – Fred Teufel and CJ Schaible Insights

Vigilant Insights Introduction Artificial Intelligence (“AI”) and Cybersecurity are major areas of focus for the SEC. Registered Investment Advisers (“RIAs”) could be expected to discuss their policies and […]

FINRA Projected Performance Proposal | Thayne Gould Insights

Vigilant Insights Introduction FINRA recently filed a proposal with the SEC to allow brokers to use hypothetical performance when advertising certain securities to institutional investors or […]

SEC Exams Heightened Focus on Tech | Fred Teufel Insights

Vigilant Insights Introduction Vigilant Director, Fred Teufel, was quoted in a Board IQ article recently discussing important compliance advice for Fund Companies and Boards, with particular mention of […]

SEC Charged Nearly $5 Billion in FY 2023 | CJ Schaible Insights

Vigilant Insights Introduction The SEC recently released its enforcement summary for fiscal year 2023. The nearly $5 billion in penalties is the second highest in history, with the highest being […]