Vigilant Compliance Newsletter | July 2024
Monthly Newsletter
In July, we saw Vigilant Insights, SEC Releases and Vigilant Announcements.
Below is a brief overview of what took place in the month of July, and what is approaching for August.
New Rules, Regulations, and Guidance
Upcoming Filings:
- 08/07/24 – Form N-MFP
- 08/12/24 – Form 13G Monthly
- 08/14/24 – Form CTA-PR
- 08/14/24 – Form 13F Quarterly
- 08/19/24 – AIFMD Annex IV – Fund of Funds
- 08/29/24 – Form PF Hedge Fund and Private Equity Fund Advisers Quarterly
- 08/29/24 – Form N-PORT
- 08/29/24 – Form CPO-PQR
- 08/30/24 – Form N-PX
- 08/31/24 – Rule 14Ad-1 and Form N-PX
- To stay up to date with the SEC Filing Deadlines in 2024, click HERE to view Vigilant’s Filing calendar.
Events & Public Appearances by Officials:
- No Meetings and Events this month.
- To see upcoming 2024 SEC Meetings and Public Appearances click HERE!
Materials
Vigilant Insights:
SEC Tailored Shareholder Reports Rule | Liam Clarke Insights
- Vigilant Director, Liam Clarke, CPA, MA, was recently quoted in an Ignites article focusing on the recent Compliance Date (July 24th, 2024) for the Tailored Shareholder Reports Rule.
- To view his insights and our conclusion, click here.
Compliance Implications from Supreme Court Rulings
- Vigilant Director, Maxwell Baker, Esq., recently discussed on FundFire the Supreme Court overturning the Chevron Doctrine which will likely have a lasting impact on regulatory agencies.
- To view his insights and our conclusion, click here.
Outsourced Compliance Considerations | Chuck Martin Insights
- As Firms continue to commit more time and resources to compliance, many choose to partner with compliance consultants to either fill their Chief Compliance Officer (“CCO”) positions or provide support for them.
- Vigilant’s Chief Operating Officer, Chuck Martin, MBA, provided his insights on Financial Advisor IQ toward Outsourced Compliance and highlighted some considerations to be aware of.
- To view his insights and our conclusion, click here.
SEC Releases:
- On July 8th, the SEC released their Spring 2024 Regulatory Agenda.
- In this Agenda includes a total of 34 Rules where 15 of them are in the Proposed Rulemaking Stage and 19 of them are in the Final Rulemaking Stage.
- To view what Rules we anticipate the industry to be focusing their attention the most on, click here.
Vigilant Announcements:
Vigilant Shortlisted for Private Equity and Hedge Fund Awards
- We have been shortlisted for Awards by Private Equity Wire and Hedgeweek for their US Awards.
- To learn more about the Award and vote for Vigilant, click here.
Vigilant Shortlisted for Private Credit Compliance Award
- We have been shortlisted for the Compliance Service of the Year Award by Private Equity Wire for their US Credit Awards.
- To learn more about the Award and vote for Vigilant, click here.
Vigilant Shortlisted for Hedge Fund Compliance Award
- We have been shortlisted for the Best Advisory Firm – Regulation and Compliance Award by With Intelligence for their Hedge Fund Manager (“HFM”) US Service Awards.
- To learn more about the Award, click here.
The Vigilant Team is always happy to schedule a time to chat, feel free to contact us with any questions!