Published on Nov 2nd, 2021 |

Vigilant Newsletter | October 2021


October brought some important insights from the thought leaders at Vigilant, our Marketing Rule Webinar Replay, and important SEC Releases.

Also, there are many important upcoming filings and events for the month of November.

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

New Rules, Regulations, and Guidance

Upcoming Filings:

  • 11/15/21-Form CTA-PR due.
  • 11/15/21-BE-185 due.
  • 11/15/21-Form 13F due.
  • 11/15/21-TIC Form S due.
  • 11/23/21– TCI Form SLT due.
  • 11/29/21-Quarterly update to Form PF due for all “large hedge fund advisers”.
  • 11/29/21-Form CPO-PQR for all CPOs.
  • 11/30/21-Periodic Report for CPOs.
  • To stay up to date with the SEC Filing Deadlines in 2021 click HERE to view Vigilant’s Filing calendar.



Vigilant Insights:

Struggling to Keep Up With Compliance?

  • Do you find that your day is filled with “putting out fires”, or is there not enough time to keep up with the “maintenance” of your compliance program?
  • Interested in learning more about how Vigilant can help? Click here to learn more!
    • If you would like to inquire about how we can assist you click here to contact us.

Marketing Rule Replay and Webinar Resources

  • With the unfortunate circumstances that occurred for our Webinar, we were able to provide everyone with a full replay of our Webinar as well as additional resources!
  • To view the full replay and get exclusive access to the Webinar resources click here

SEC Releases:

Division of Examinations Risk Alert for RIC Initiatives

  • On October 26th, the Division of Examinations (the “Division”) released a Risk Alert where they conducted a sequence of examinations under the Registered Investment Company (“RIC”) Initiatives.
  • Not enough time to read the full Risk Alert? Vigilant created a synopsis here for you!

SEC v. Regal Investment Advisors, LLC

  • Regal Investment Advisors, LLC (“Regal”) failed to provide advisory services to certain clients after their investment advisor representative left Regal and failed to disclose conflicts of interest arising from compensation received from an affiliated portfolio management in violation of Section 206(2) and Section 206(4) of the Advisers Act.
  • To view the cliffnotes from Vigilant and get a quick glimpse of the entire order click here!

Who is Vigilant and what do we 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.