Published on Aug 3rd, 2021 |

July 2021 Recap| Monthly Newsletters

In the month of July there were many important SEC Releases and Risk Alerts, as well some insights and takeaways from the thought leaders at Vigilant.

Also, there are many upcoming filings for the month of August.

To learn more about what took place in the month of July and what is coming up, keep scrolling!

New Rules, Regulations, and Guidance

Upcoming Filings:

  • 8/15/2021-BE-185 due
  • 8/16/2021-Form CTA-PR due
  • 8/16/2021-TIC Form S due
  • 8/16/2021-Form 13F due
  • 8/23/2021-TIC Form SLT due
  • 8/29/2021-Quarterly update to Form PF due for all “large hedge fund advisers.”
  • 8/29/2021-Periodic Report for CPOs
  • 8/30/2021-Form CPO-PQR for all CPOs
  • To stay up to date with the SEC Filing Deadlines in 2021 click HERE to view Vigilant’s Filing calendar.

Events:

 

Materials:

Vigilant Insights:

Mutual Fund to ETF Conversion?

  • Have YOU ever considered converting an open-ended Mutual Fund to an ETF? According to ETF.com, there has been $900 billion in new flows for ETFs within the last 15 months while equity mutual funds have matched that same amount in outflows.
  • Click here to see the possible advantages of doing so.

SEC Releases:

Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades

  • On July 21st, the Division of Examinations (“DOE”) released a Risk Alert about Observations Regarding Fixed Income Principal and Cross Trades by Investment Advisers from an Examination Initiative.
  • Click here to read the release and Vigilant’s Takeaways on our blog.

Division of Examinations Releases Risk Alert about Examining Investment Advisers that Manage Client Accounts Participating in Wrap Fee Programs

  • On July 21st, the Division of Examinations (“DOE”) released a Risk Alert about Investment Advisers managing client accounts that participate in wrap fee programs.
  • Click here to read the release and Vigilant’s Takeaways on our blog.

SEC Charges Electronic Trading Platform

  • On June 29th, 2021, the SEC announced that Neovest, Inc. failed to register as a broker-dealer in violation of the federal securities laws. Neovest, Inc. is a provider of an order and execution management system (OEMS) and this is the SEC’s first case charging an OEMS for operating as an unregistered broker-dealer.
  • Click here to read the release and Vigilant’s Takeaways on our blog.

SEC Commissioner Provides Updates towards Climate Change, ESG, and more

  • On June 28th, 2021, the 2021 Society for Corporate Governance National Conference took place, where there were large discussions on Climate and ESG. Commissioner Allison Herren Lee provided an in-depth analysis and update on Climate and ESG matters relating to board obligation, risks, opportunities, and more.
  • Click here to read the release and Vigilant’s Takeaways on our blog.

 

Who is Vigilant and what do they have to offer?

Vigilant is a full-service Investment Management Solutions Firm.

Vigilant offers core solutions that you will find below:

  • Compliance Solutions
    • Investment Adviser
    • Mutual Fund
    • Private Equity
    • Hedge Funds
    • Exchange Traded Funds
    • Broker Dealer

Want to learn more about Vigilant?

Click HERE to view our new website and to see everything we have to offer.

 

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