Published on Jan 13th, 2022 |

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:

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!