Vigilant Compliance Newsletter | May 2025
Monthly Newsletter
In May, there were important releases including Vigilant Insights and SEC Releases.
Below is a brief overview of what took place in the month of May, and what is approaching for June.
New Rules, Regulations, and Guidance
Upcoming Filings:
- 06/06/25 – SEC Form 13G 10%
- 06/27/25 – Financial Audit Statements Delivery
- 06/30/25 – FSRA FATCA/CRS – Assessment
- 06/30/25 – Global Investment Performance Standards (GIPS) Notification
- To stay up to date with the SEC Filing Deadlines in 2025, click here to view Vigilant’s Compliance Calendar.
Events & Public Appearances by Officials:
- 06/03/25 – A Review of the President’s Fiscal Year 2026 Budget Request for the SEC
- 06/04/25 – Open Meeting
- 06/05/25 – Conference on Emerging Trends in Asset Management
- 06/09/25 – Crypto Task Force Roundtable – DeFi and the American Spirit
- 06/11/25 – World Elder Abuse Awareness Day
- 06/26/25 – SEC Roundtable on Executive Compensation Disclosure Requirements
- To see upcoming 2025 SEC Meetings and Public Appearances click HERE!
Materials
Vigilant Insights:
IAA Requests Reconsideration of AML Rules | Maxwell Baker Insights
- Vigilant Director, Maxwell Baker, Esq., provided his insights on FundFire discussing the effects of the new AML Rule on Firms.
- View Max‘s insights here.
SEC Releases:
- The new SEC Chairman, Paul Atkins, provided his opening remarks at the SEC Town Hall, on May 6, 2025, and we have compiled key takeaways from his speech below.
- View our takeaways of Atkins opening remarks here.
- The Acting Director, Division of Examinations, Keith Cassidy, spoke on May 14, 2025 about the approach the Division takes regarding the adopted amendments to Reg S-P.
- View our takeaways from her statements here.
- On May 16, 2025, the SEC Chair, Paul Atkins, spoke at the 12th annual conference on Financial Market Regulation.
- In this talk, Atkins discusses the importance of economic analysis when regulators consider amending existing rules or adopting completely new regulations.
- View our takeaways from Atkins remarks here.
The Vigilant Team is always happy to schedule a time to chat, feel free to contact us with any questions!
