Vigilant Monthly Newsletter

Published on May 2nd, 2022 |

For April’s version of Vigilant’s Monthly Newsletter, we saw important SEC Proposed Rules, Risk Alerts, and important insights from Vigilant.

Below is a brief overview of what took place in the month of April, and what is approaching for May.

New Rules, Regulations, and Guidance

Upcoming Filings:

5/2/22 – AIFMD Annex IV
5/10/22 – Schedule 13G Monthly
5/16/22 – Form 13F Quarterly
5/16/22 – AIFMD Annex IV – Fund of Funds
5/16/22 – Form CTA-PR
5/30/22 – Form PF Hedge Fund Quarterly
5/30/22 – CPO-PQR
To stay up to date with the SEC Filing Deadlines in 2022, click HERE to view Vigilant’s Filing calendar.

Events & Public Appearances by Officials:

5/5/22 – Closed Meeting
5/6/22 – Ninth Annual Conference on Financial Market Regulation
5/6/22 – Small Business Capital Formation Advisory Committee Meeting
5/11/22 – ISDA Annual General Meeting
5/12/22 – Director Grewal: Securities Enforcement Forum West 2022
To see upcoming 2022 SEC Meetings and Public Appearances click HERE!

Materials

Vigilant Insights:

Vigilant’s Chief Operating Officer, Chuck Martin, Quoted In BoardIQ On 2022 Exam Priorities

Vigilant’s Chief Operating Officer, Chuck Martin, was quoted in BoardIQ where he discussed his initial thoughts and analysis towards the 2022 Exam Priorities.
Chuck provided statements regarding the Exam Priorities that can be found by clicking here!

SEC Releases:

Division of Examinations Releases Risk Alert on Investment Adviser MNPI Compliance Issues

On April 26, 2022, the SEC Division of Examinations (“EXAMS”) noted common deficiencies related to Section 204A and the Code of Ethics Rule (Rule 204A-1 of the Investment Advisers Act of 1940).
Vigilant has provided Key Takeaways and a Final Conclusion, that can be found here!

SEC Proposes Rules Towards SPACs, Shell Companies, and Projections

The SEC recently proposed new rules and regulations to increase investor protection in initial public offerings (IPOs) through special purpose acquisition companies (SPACs), as well as the combination of transactions with shell companies, such as SPACs, and private operating companies.
Vigilant has provided a synopsis of the Proposed Rules, as well as a Final Conclusion, that can be found here!

The Vigilant Team is always happy to schedule a time to chat, feel free to contact us with any questions!

The Team at Vigilant

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