CJ Schaible, Author at Vigilant LLC

Important Items You May Have Missed In November

Vigilant Newsletter | November 2021 November brought some important Risk Alerts and important insights from Vigilant on “Preparing for 2022”. Also, there are important upcoming filings […]

Staying Ahead in 2022 | How to be Prepared

Establish A Plan Of Action For 2022 | Vigilant Insights Preparing for 2022 With the new year rapidly approaching, it is important (as life […]

Multiple Deficiencies Found Relating to Advisers’ Fee Calculations

SEC Releases | Risk Alert The Division of Examinations (the “Division”) released a Risk Alert yesterday, November 10th, concluding that the Division Staff completed a national initiative that focused […]

Vigilant Thanks All Our Country’s Veterans This November 11th

Happy Veterans Day from Vigilant | We Thank Those who Served on Veterans Day Vigilant would like to wish everyone that served our country, including […]

Risk Alert | “Division” Examines Advisers Providing Electronic Investment Advice

SEC Releases | Risk Alert on Advisers Providing Electronic Investment Advice The Division of Examinations (the “Division”) released a Risk Alert yesterday, November 9th, with the goal […]

October 2021 Recap | Vigilant Monthly Newsletter

Vigilant Newsletter | October 2021 October brought some important insights from the thought leaders at Vigilant, our Marketing Rule Webinar Replay, and important SEC […]

Risk Alert | RIC Initiatives Examined by the “Division”

Observations from Examinations in the Registered Investment Company Initiatives October 26, 2021 Summary: Focus: The SEC examined more than 50 fund complexes, more than […]

Struggling to keep up with Compliance?

Vigilant Insights You are not alone Do you find that your day is filled with “putting out fires” ? Is there not enough time to […]

SEC RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act

SEC Releases | RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act Regal Investment Advisors, LLC (“Regal”) failed to […]

September 2021 Recap | Vigilant Monthly Newsletter

Vigilant Newsletter | September 2021 In Case You Missed It: Due to the overwhelming demand for our New Marketing Rule Webinar on Wednesday, […]

SEC May Potentially Forbid Trading for 270 China-Related Companies by Early 2024

SEC Release | SEC Chairman, Gary Gensler Insights On September 13th, 2021, SEC Chairman, Gary Gensler, stated that the SEC may need to forbid trading in approximately […]

August 2021 Recap | Vigilant Newsletter

Vigilant Newsletter | August 2021 Compliance Recap In the month of August there were many important SEC Releases, as well some insights and takeaways from […]