CJ Schaible, Author at Vigilant LLC

Misleading Disclosures Related to Information Barriers

SEC Releases Brief Introduction The SEC has filed charges in U.S. District Court against a Firm and their Parent Company for allegedly making materially false and misleading statements and […]

Feeling “Overwhelmed” by Marketing Review | Vigilant Solutions

Vigilant Insights Brief Introduction The SEC has recently released a Risk Alert describing the large amount of documents typically requested during SEC Examinations. With the SEC’s first enforcement action related […]

9 Marketing Rule Violations | SEC Charges

SEC Releases Brief Introduction On September 11th, the SEC announced charges against nine Registered Investment Advisers (“RIAs”) for violations of the Marketing Rule. All involved Firms had violations involving […]

Risk Alert for Investment Advisers | SEC Releases

SEC Releases Brief Introduction The SEC Division of Examinations (“Division” or “EXAMS”) recently published a Risk Alert to give additional information about the Risk-Based Approach the Division takes for selecting Registered […]

5 Advisory Firms Charged for Custody Rule Violations

SEC Releases Brief Introduction On September 5th, the SEC announced charges against five investment advisers for Custody Rule violations. The SEC requires compliance with the Custody Rule and the […]

Vigilant Monthly Newsletter | August 2023

Vigilant Monthly Newsletter | August 2023 In August, we saw many Insights directly from the Vigilant Team, SEC New Rules and Releases, SEC Charges, Vigilant Insights and Announcements, […]

Regulatory Impact on Smaller Firms | Bernadette Murphy Insights

Vigilant Insights Brief Introduction Vigilant Managing Director, Bernadette Murphy, MSL, was recently quoted in InvestmentNews discussing the impact of SEC regulations on Registered Investment Advisers (“RIAs”). As the SEC […]

Vigilant Shortlisted as Best ETF Regulatory/Compliance Adviser

Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best ETF Regulatory/Compliance Adviser for the ETF Express US ETF Awards 2023. Place Your Votes […]

SEC Reopens Comment Period for RIA Safeguarding Rule

SEC Releases Brief Introduction Due to the new rules and amendments adopted on August 23rd, the SEC has reopened a 60-day comment period for the public to comment […]

SEC Adopts Private Fund Rules

SEC Releases Brief Introduction As recently predicted, the SEC announced on August 23rd its adoption of new rules for Private Funds and Private Fund Advisers. There are some significant […]

AI and Messaging Compliance | Michael Hogan Insights

Vigilant Insights Brief Introduction With the recent SEC charges of $289 million related to electronic recordkeeping failures, which increases the total fines ordered to over $1.5 billion for […]

First SEC Enforcement Related to Marketing Rule | Chuck Martin Reacts

Vigilant Insights Brief Introduction On Monday, August 21st, the SEC released its first enforcement action related to the new Marketing Rule. A New York based FinTech Investment […]