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.
- 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
- Thompson Hine Web Series Feature: It’s a New Day: Conflicts Part II
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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