CJ Schaible, Author at Vigilant LLC

Vigilant Compliance Newsletter | August 2025

Monthly Newsletter Printer Friendly Version In August, there were important releases including Vigilant Insights, SEC Releases, and Vigilant Shortlist Award Announcements. Below is a brief […]

Vigilant Shortlisted for ETF Compliance Award

Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following Award below by ETF Express for their 2025 US Awards. Best ETF Regulatory/Compliance Adviser Vote […]

Private Fund RIA Charged Over $1.2 Million for Excess Management Fees

SEC Releases Introduction The SEC has charged a $2.4 Billion AUM New York RIA over one (1) million dollars in civil penalties due to over […]

Enhancing Transparency: SEC’s New Guidance for Closed End Funds Investing in Private Funds

SEC Releases Introduction On August 15, 2025, the SEC’s Division of Investment Management issued Accounting & Disclosure Information (“ADI”) 2025‑16, focusing on Registered Closed‑End Funds […]

Vigilant Shortlisted for 3 Private Equity Compliance Awards

Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted for the following Awards below by Private Equity Wire for their US Awards. Regulatory and Compliance Firm of the […]

Debunking Common Misconceptions About Outsourced Compliance for RIAs, RICs, and Broker Dealers

Vigilant Insights Introduction As regulatory expectations grow in complexity, many SEC Registered Investment Advisers (RIAs), SEC Registered Investment Companies (RICs), and FINRA Registered Broker-Dealers are […]

RIA Charged for Custody Rule Violations

SEC Releases Introduction The SEC charged an RIA on August 1st, 2025, for failing to comply with the independent verification requirements for Firms maintaining custody […]

Common Marketing Review Mistakes and How to Improve Them: A Guide for RIAs, RICs, and Broker Dealers

Vigilant Insights Introduction In the ever-evolving landscape of Marketing and Advertising, SEC Registered Investment Advisers (“RIAs”), SEC Registered Investment Companies (“RICs”), and FINRA Registered Broker-Dealers […]

Why Private Fund Managers are Turning to Closed-End Funds

Vigilant Insights The Growing Appeal of Closed-End Funds for Private Fund Managers: Unlocking Liquidity and Broader Investor Access Vigilant continues to see a trend surrounding […]

Vigilant Compliance Newsletter | July 2025

Monthly Newsletter Printer Friendly Version In July, there were important releases including Vigilant Insights, SEC Releases, and Vigilant Shortlist Award Announcements. Below is a brief […]

Former CCO Charged for Altering Documents during SEC Exam

SEC Releases Introduction The SEC charged the Former CCO and Vice President of an RIA on July 15th, 2025, for modifying compliance documents requested by […]

Vigilant Shortlisted for 2025 Hedgeweek US Awards

Vigilant Announcements After getting the three (3) peat last year for the Hedgeweek US Awards as the Best Regulatory Advisory & Compliance Firm, Vigilant looks to make it […]