Vigilant Monthly Newsletter | December 2021
December brought some important SEC Releases and important insights from Vigilant as we ended 2021.
Below is a brief overview of what took place in the month of December, and what is approaching for January.
New Rules, Regulations, and Guidance
Upcoming Filings:
- 1/10/22-Schedule 13G Monthly.
- 1/10/22-Form 13H Quarterly.
- 1/15/22-Form PF Liquidity Fund Quarterly
Events & Public Appearances by Officials:
- 1/18/22–DC Bar Fintech Regulation and Enforcement Committee
- 1/19/22–Office of the Advocate for Small Business Capital Formation Capital Call
- 1/19/22–Exchequer Club of Washington D.C.
- 1/24/22–Northwestern Pritzker School of Law’s 2022 Securities Regulation Institute
- To see upcoming 2022 SEC Meetings and Public Appearances click HERE!
Materials:
Vigilant Insights:
5 Ways Vigilant Can Help You Start 2022 Strong
- As we enter the new year, it is important to have a strong Compliance program and gain a competitive advantage heading into 2022.
- Vigilant has provided 5 ways that we can help YOU gain a competitive advantage in 2022 and a highlight of our suite of services that can be found here!
Vigilant Shortlisted Announcement
- Vigilant was shortlisted as the Best Compliance Advisory Firm for the Fund Intelligence Operations & Services Awards 2022.
- To learn more about the history of Fund Intelligence and Vigilant, click here!
SEC Releases:
$4.5 Million Fine for Fee and Expense Disclosures
- On Monday, December 20th, the SEC released an Order announcing that they charged an RIA $4.5 Million for Fee and Expense Disclosure Failures.
- To learn more about the Main Cause, Key Takeaways, and a Final Conclusion from Vigilant click here!
$200 Million Fine Over Employee Text Messages
- According to a Wall Street Journal article written on Monday, December 13th, a well known Investment Banking Company is gearing towards the final stages of paying a $200 Million fine coming together on a settlement with the SEC and the Commodity Futures Trading Commission.
- To learn more about the Main Cause, Key Takeaways, and a Final Conclusion from Vigilant click here!
The Vigilant Team is always happy to schedule a time to chat, feel free to contact us with any questions!