CJ Schaible, Author at Vigilant LLC

Vigilant Monthly Newsletter | April 2023

Monthly Newsletter In April, we saw SEC Releases and important insights from Vigilant. Below is a brief overview of what took place in the month of […]

Reg BI | SEC Releases Bulletin for RIAs and BDs

SEC Releases Brief Introduction Last week, the SEC released a bulletin explaining the standards of conduct for Registered Investment Advisers (“RIAs”) and Broker Dealers (“BDs”) under Reg BI […]

SEC Chairman’s Congressional Testimony | Key Takeaways

SEC Releases Brief Introduction On April 18th, SEC Chairman, Gary Gensler, gave testimony to the House of Representatives Committee on Financial Services. His testimony covered many topics […]

SEC Charges Investment Adviser for Tax Service Misstatements

SEC Releases Brief Introduction On April 18th, an Investment Advisory Firm was charged by the SEC for misstatements and omissions relating to its automated tax loss harvesting service […]

Form PF Filings are Due at the End of the Month (April 30th, 2023)

Vigilant Insights Brief Introduction SEC Registered Investment Advisers (“RIAs”) that manage Private Funds must file their Form PF by April 30th, 2023, if they meet certain […]

Vigilant Shortlisted for 3 Awards by Hedgeweek

Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following 3 Awards below by Hedgeweek for their US Emerging Manager Awards 2023: Best Outsourced […]

Firm Pays $20 Million for Improper Securities Trading

SEC Releases Brief Introduction On April 3rd, a Firm and its Founder agreed to pay $19.3 million in disgorgement, interest, and civil penalties as a result of SEC […]

SEC Commissioner Peirce Comments On SEC Agenda

News & Alerts Brief Introduction SEC Commissioner Hester Peirce commented on a host of issues during a CFA Society of Washington’s annual dinner. Peirce had a […]

SEC Hires 100+ Staff, Is Your Firm Prepared?

Vigilant Insights Brief Introduction The SEC is looking to hire over 100 additional staff members for its enforcement division, and is proposing a 12% budget increase […]

SEC Investigations Related to Messaging Apps | Maxwell Baker Reacts

Vigilant Insights Vigilant’s own, Maxwell Baker, Esq., was quoted in InvestmentNews related to the SEC’s continued investigations into the use of messaging apps by employees of registered firms. […]

Vigilant Monthly Newsletter | March 2023

Monthly Newsletter In March, we saw SEC Releases and Proposed Rules, as well as important insights from Vigilant. Below is a brief overview of what took […]

SEC Releases Risk Alert for Newly Registered Advisers

SEC Releases Brief Introduction The SEC released a Risk Alert on March 27th, related to Newly-Registered Advisers, focusing on what areas are frequently investigated during Examinations and what Compliance Problems […]