Published on Sep 1st, 2020 |

In the inaugural issue of Vigilant’s Compliance Recap, we have highlighted some important takeaways from the month of August and some reminders for the upcoming months.

Upcoming Filings 

  • Form 13H Quarterly Filing for Changes- October 9, 2020
    • Form 13H (large trader) quarterly filing is due for the calendar quarter end Q3 2020 for advisers that already have a Form 13H filing obligation and have changes to any of the information reported.
  • Form PF for Large Liquidity Fund Advisers- October 15, 2020
    • Large liquidity fund advisers must file Form PF with the SEC on the IARD system within 15 days of each fiscal quarter end.  (This due date assumes a fiscal year end of December 31st and may need to be adjusted according to your firm’s fiscal year end.)
  • Form 13F- November 13, 2020
    • 13F quarterly filing is due for Q3 2020 within 45 days after the end of the calendar quarter.

New Rules, Regulations, and Guidance

  • The SEC Released a Risk Alert for Broker Dealers and RIAs, 8/12/2020
  • The SEC made amendments to the definition of an “Accredited Investor”, 8/26/2020

Resources

  • Thompson Hine Web Series Feature: It’s a New Day: Conflicts Part II
    • Salvatore Faia, Vigilant CEO, spoke on a Panel discussing conflicts. Access the PowerPoint presentation here and the recorded presentation here.

In the month of August, Vigilant was blessed to celebrate its 16th Anniversary, read more here

 

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