Vigilant Compliance Newsletter

Published on Nov 4th, 2025 |

Monthly Newsletter

In October, there were important releases including Vigilant Insights and Vigilant Announcements.

Below is a brief overview of what took place in the month of October, and what is approaching for November.

Upcoming Filings:

11/07/25 – SEC Form 13G 10%
11/14/25 – AIFMD Annex IV – Fund of Funds
11/14/25 – SEC Form 13F
11/14/25 – SEC Form 13G 5%
11/14/25 – NFA Form CTA-PR
11/28/25 – SEC Form PF Large Hedge Fund Update
11/28/25 – SEC Form PF Private Equity Fund Adviser Quarterly Event Reporting
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:

There are currently no Events or Public Appearances by Officials scheduled for the month of November.
To see upcoming 2025 SEC Meetings and Public Appearances click HERE!

Vigilant Announcements:

Vigilant Named Four-Time Hedgeweek Award Winner

For the fourth year in a row, Vigilant was awarded as the Regulatory & Compliance Firm of the Year by Hedgeweek for their 2025 US Awards.
Click here for more on the Award Win and Vigilant’s Hedge Fund Compliance Services.

On October 21st, Vigilant’s President & CEO, Salvatore Faia, Esq., CPA, CFE, participated on a Thompson Hine Webinar.
The Webinar explored the continued growth of RIA mergers and acquisitions, what drives deal activity, and how firms can structure transactions effectively.
For more on the Webinar, click here.

Vigilant Insights:

Registered Investment Advisers (“RIAs”) and Registered Funds (“RICs”) face an evolving regulatory environment and important registration thresholds that take effect based on year-end assets under management (“AUM”).
In this article, Vigilant covers proactive preparation that can help firms ensure a smooth transition into 2026 with confidence and regulatory clarity.
Read more on Year-End Compliance Considerations here.

In today’s evolving regulatory landscape, even well-intentioned Firms can face challenges in maintaining full compliance with SEC and/or FINRA requirements. Small oversights can quickly escalate into costly deficiencies or even lead to enforcement actions depending on the severity.
In this Vigilant Insights release, we cover common compliance mishaps, and how we can help with preventing those mishaps.
Click here to learn more.

Closed-End Funds continue to evolve as Investment Managers seek innovative ways to access capital, deliver liquidity options to investors, and align Fund structures with increasingly complex regulatory expectations.
Understanding the nuances among the different types of Closed-End Funds is essential to selecting the structure that best fits your Firm’s strategy, investor base, and operational goals.
For more information on Closed-End Fund structures and how Vigilant helps Managers navigate these complex frameworks, click here.

The Vigilant Team is always happy to schedule a time to chat, feel free to contact us with any questions!