CJ Schaible, Author at Vigilant LLC

Vigilant Monthly Newsletter – July 2022

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

SEC Charges Firms for Deficiencies in Customer Identity Theft Prevention

Brief Introduction On July 27th, the SEC charged two large Investment Banks and a Broker-Dealer for deficiencies in their programs to prevent customer identity theft. As a […]

4 Key Takeaways from the 2022 PLI Investment Management Program

Brief Introduction On July 26th, 2022, Practising Law Institute (“PLI”) hosted their annual program for 2022 on Current Issues & Trends in Investment Management. The Director […]

$200 Million Fine for Misuse of Personal Devices

Brief Introduction On July 14th, a well-known investment bank announced that it expects to pay a $200 million dollar fine because of its unapproved usage of […]

5 Common ESG Deficiencies Found From SEC Examinations

5 Common ESG Deficiencies Found From SEC Examinations Vigilant has seen 5 common ESG Deficiencies found during SEC examinations below: Failure to address the review […]

Brokerage Firm Charged by SEC for Violating Reg BI Standards

Brief Introduction On June 16th, the SEC announced that they had charged a registered broker-dealer and five of its registered representatives for violating Reg BI in their recommendation […]

Industry Pushback Toward SEC’s Proposed Rules on Climate Related Disclosures

Brief Introduction On March 21st, the SEC released proposed rule changes for certain climate-related disclosures to provide investors with consistent, comparable, and decision-useful information for making their investment […]

SEC Opens Request for Comments on Certain Information Providers Acting as Investment Advisers

Brief Introduction and Reminder On Wednesday, June 15th, the SEC announced that they would open any requests for comments on Certain Information Providers Acting as Investment Advisers. […]

Vigilant Monthly Newsletter | June 2022

In June, we saw important SEC Releases, SEC Charges, important insights from Vigilant, and an adopted new Rule. Below is a brief overview of what […]

SEC Imposes Largest Penalty Ever Against an Audit Firm

Brief Introduction On Tuesday, June 28th, the SEC announced that they charged a well known Audit Firm for employees cheating on the CPA Ethics Exam and withholding evidence […]

SEC Adopts Rules to Require Electronic Filings

Brief Introduction On Thursday, June 23rd, the SEC adopted amendments to require certain documents filed by investment advisers, institutional investment managers, and certain other entities to […]

Spring 2022 Regulatory Agenda | SEC Announcements

Brief Introduction On Wednesday, June 22nd, the SEC announced that the Office of Information and Regulatory Affairs released the Spring 2022 Unified Agenda of Regulation and Deregulatory […]