Published on Jan 5th, 2021 |

As 2020 comes to an end, we would like to highlight some important takeaways from the month of December and some reminders for the start of the NEW Year!

In this edition of the newsletter you will find our end of the year survey to provide any feedback you have based on our content from last year.

End of the Year Survey

  • Here at Vigilant we take your feedback seriously and are always looking for ways to improve our content so it continues to be valuable for you. Click the above link or HERE for our survey to provide your input.

New Rules, Regulations, and Guidance

Upcoming Filings:

  • To stay up to date with the SEC Filing Deadlines in 2021 click HERE to view Vigilant’s Filing calendar


  • To see upcoming 2021 SEC Meetings and Public Appearances click HERE



Vigilant in the News

  • Vigilant’s COO (Chuck Martin) Provided Insights on Ignites Regarding the new Advertising Rule
    • On December 29th, Vigilant’s COO, Chuck Martin, provided his insights on Ignites regarding the new Advertising Rule and the SEC’s decision to scrap a proposed requirement that advisors review ads for compliance purposes before using them. Click HERE to learn more about Chuck’s insights and see what he had to say!
    • To see the full Ignites article click HERE

SEC Releases

  • SEC Adopts Modernized Marketing Rule for Investment Advisers
    • The SEC released an important announcement on December 22nd stating that it has finalized reforms under the Investment Advisers Act to modernize rules that govern investment adviser advertisements and payments to solicitors.  Want to learn more about one of the biggest SEC Adoptions in over 40 years? Click HERE
  • SEC Risk Alert – OCIE Examines Broker-Dealers and Investment Advisers
    • The SEC came out with a Risk Alert December 17th regarding Observations from Examinations of Broker-Dealers and Investment Advisers (Large Trader Obligations). Want to learn more about who the rule applies to, requirements, and recommendations from the OCIE? Click HERE
  • Framework for Fund Valuation Practices
    • On December 3rd, The SEC made an announcement stating that they have adopted a new rule (2a-5) that establishes an updated regulatory framework for fund valuation practices.  Want to learn more about the expectations and requirements of this new rule? Click HERE

Vigilant Insights

  • 5 Ways Vigilant can Help YOU Gain a Competitive Advantage in 2021
    • With unprecedented uncertainty heading into 2021 it is important to have a strong Compliance program and gain a competitive advantage heading into the new year. Want to learn more about what Vigilant has to offer? Click HERE
  • Vigilant Compliance Nomination for Best Compliance Advisory Firm
    • Vigilant was shortlisted as the Best Compliance Advisory Firm for the Fund Intelligence Operations & Services Awards 2021 on December 14th. Want to learn more about this nomination? Click HERE