Published on Jul 16th, 2021 |

Compliance Recap June 2021 | Monthly Newsletter 

In the month of June there were many important SEC Releases, as well as quite a few insights and takeaways from the thought leaders at Vigilant.

Also, there are events and upcoming filings for the month of June to be aware of.

To learn more about what happened in the month of June see below!

New Rules, Regulations, and Guidance

Upcoming Filings:

  • Quarterly Form 13H Amendment is due on July 12th, 2021.
  • TIC Form S is due on July 15th, 2021.
  • TIC Form SLT is due on July 23rd, 2021.
  • Quarterly Transaction Reports are due on July 30th, 2021.
  • Periodic Reports for CPOs are due on July 30th, 2021.
  • To stay up to date with the SEC Filing Deadlines in 2021 click HERE to view Vigilant’s Filing calendar.

Events:

  • SEC Virtual Derivatives and Futures Law Committee Mid-Year Program is on July 21st, 2021 at 10:00 AM  ET. To add this to your calendar click HERE.
  • The SEC: Picture Yourself Here is on July 21st, 2021 at 12:00 PM ET. To add this to your calendar click HERE.
  • SEC Georgetown University’s McDonough School of Business Executive Education Department and FINRA is on July 21st, 2021 at 6:00 PM ET. To add this to your calendar click HERE.
  • SEC Remarks to the UN Principles for Responsible Investment is on July 28th, 2021 at 10:30 AM ET. To add this to your calendar click HERE.
  • To see upcoming 2021 SEC Meetings and Public Appearances click HERE.

 

Materials:

Vigilant Insights:

  • Top 5 Common Misconceptions with Compliance
    • Think you can handle your entire Compliance Program all by yourself? Vigilant has provided Top 5 Misconceptions in Compliance that YOU need to know. Click HERE to learn more!
  • 8 Benefits to Engaging a Compliance Consultant
    • Should I engage a Compliance Consultant? What are the benefits of a Compliance Consultant? How can I best leverage a Compliance Consultant? Can I utilize a Compliance Consultant to supplement our in-house compliance staff? These are some of the many questions Vigilant has received over the past 17 plus years. To see how we can help provide value to YOU as a Compliance Consultant click HERE to learn more!

SEC Releases:

  • SEC Announces Annual Regulatory Agenda
    • On June 11th, 2021, the SEC announced the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions. To learn more about the notable SEC rulemaking areas on this agenda click HERE to learn more!
  • ESG Rules and Disclosures Update from Commissioner Elad L. Roisman
    • On June 22nd, 2021, Commissioner Elad L. Roisman provided his insights and updates toward ESG rules and disclosures. To learn more about the three sections he discussed in his speech click HERE!

 

What is Vigilant and what do they have to offer?

To help provide clarity, Vigilant is a full-service Investment Management Solutions Firm.

Vigilant offers core solutions that you can find here 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 to get a full glimpse of what we have to offer.