Vigilant Monthly Newsletter

Published on Aug 1st, 2023 |

Vigilant Monthly Newsletter | July 2023

Monthly Newsletter

In July, we saw SEC Releases, Vigilant Insights and Announcements, and News and Alerts throughout the Industry.

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

Upcoming Filings:

08/07/23 – Form N-MFP
08/10/23 – Form 13G Monthly
08/14/23 – Form CTA-PR
08/14/23 – Form 13F Quarterly
08/21/23 – AIFMD Annex IV – Fund of Funds
08/29/23 – Form PF Hedge Fund Quarterly
08/29/23 – Form N-PORT
08/29/23 – Form CPO-PQR
08/31/23 – Form N-PX
To stay up to date with the SEC Filing Deadlines in 2023, click HERE to view Vigilant’s Filing calendar.

Events & Public Appearances by Officials:

Vigilant Announcements:

Private Equity Wire US Awards 2023 | Vigilant Shortlisted

Vigilant was shortlisted for our third award in the month of July as the Best Regulatory Advisory & Compliance Firm for the Private Equity Wire US Awards 2023.
To vote for Vigilant and learn more about Private Equity Wire, click here.

Vigilant was shortlisted as the (1) Best Regulatory Advisory & Compliance Firm and (2) Best Outsourced Solution for the Hedgeweek US Awards 2023.
To vote for Vigilant and learn more about Hedgeweek, click here.

Vigilant was shortlisted as the Best Advisory Firm – Regulation and Compliance for the With Intelligence Hedge Fund Manager (“HFM”) US Service Awards 2023.
To learn more about our shortlist and the HFM US Service Awards, click here.

Vigilant Insights:

As the SEC continues to propose numerous rules and amendments, while also handing out over a billion in fines, it would be prudent for Firms to be aware of key reminders when handling electronic communication compliance in the industry.
To view our 4 Key Reminders and conclusion, click here.

SEC Releases:

New Rule Adopted by SEC, Along with Two Proposals

On July 26^th, the SEC adopted their proposed rule related to Cybersecurity Risk Management and Incident Disclosure.
They also announced two new proposals; one related to Conflicts of Interest Involving Predictive Data Analytics, and the other involving Investment Advisers that Solely use the Internet.
To learn more about the adopted rule and two proposals, click here.

News and Alerts:

High Demand for Mock Exams

Firms continue to face a regulatory environment that has seen a record number of rule releases, billions in financial punishments, and an increase in onsite regulatory examinations.
To learn more about the demand of Mock Exams and our conclusion, click here.

At a time when the regulatory environment is incredibly aggressive, and regulators are making record-breaking numbers of rule proposals and amendments, the industry is investing heavily in compliance to avoid major financial burden.
To learn more about the importance of compliance and how Vigilant can help, click here.

On June 28^th, the House Financial Services Committee sent a letter to SEC Chairman, Gary Gensler, related to document requests made by the committee that they have felt were inadequate.
To learn more about the letter and our conclusion, click here.

SEC Chairman, Gary Gensler, spoke with senators about his plans for the $194 million dollar increase in funds for the current budget proposal.
To learn more about what to expect and our conclusion, click here.

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