CJ Schaible, Author at Vigilant LLC

Vigilant Newsletter for April 2021

With less than one week to go it is important to register for Vigilant’s ESG Investing webinar with Paul Hastings, LLP. To register for the event on […]

S&P Dow Jones Indices Gets Charged with Failures Relating to Volatility-Related Index

On May 17th, 2021, the SEC settled charges with S&P Dow Jones Indices for Failures Relating to Volatility-Related Index for which they agreed to a cease-and-desist order […]

Vigilant and Paul Hastings, LLP’s ESG Investing Webinar – Who? What? Where? When? Why?

With the webinar quickly approaching in under a week it is important for those that have not yet registered to see how this will be a great opportunity to learn […]

Vigilant Announces ESG Webinar Hosted with Paul Hastings, LLP on May 25th, 2021

Over the past few weeks, months, and in recent years, ESG has gained more popularity from investors, money managers, and even regulators. We’ve heard from clients and […]

Vigilant’s Snap Shot and Guidance on the SEC Marketing Rule

As the SEC Marketing Rule’s Effective Date approaches on May 4th (Compliance Date is November 22nd, 2022), it is important to have a strong understanding of what […]

5 Forecasted Trends in Compliance after Q1

We’ve Compared 2022 vs. 2021 Priorities Here As Q1 comes to an end, we have seen a lot of forecasted trends for 2021 already […]

EXAMS Provides a Risk Alert on their Review of ESG Investing

On April 9th, 2021 the Division of Examinations (EXAMS) released a Risk Alert on their Review of ESG Investing. Recently, there has been increasing investor […]

Vigilant Newsletter for March 2021

As Q1 comes to an end there are lots of important Announcements and Industry Updates! One of the most awaited updates came early this month […]

Division of Examinations Provides a Risk Alert Regarding AML Requirements

On Monday (March 29th, 2021) the Division of Examinations (“EXAMS”) released a Risk Alert regarding examinations they conducted from Broker-Dealers and Mutual Funds on their compliance with AML […]

Expectations from FINRA’s 2021 Report on Examination and Risk Monitoring Programs

FINRA released its report on Risk Monitoring and Examination Activities which is designed to provide annual insights from FINRA’s ongoing regulatory operations and inform member firms’ compliance programs. […]

Vigilant February 2021 Recap

As Spring is rolling in, so are a lot of Announcements and Industry Updates! One of the most awaited updates was this past week. The […]

October 2020 Recap

Hello November! In this issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of October and some reminders for the end of the year! (2021 […]