Published on Jun 8th, 2021 |


For this month’s version of Vigilant’s Newsletter for May there was a high focus on Vigilant and Paul Hastings webinar, An Asset Manager’s Guide to ESG Investing. There was also an important SEC Release on the S&P Dow Jones Indices getting charged.

Also, there are events and upcoming filings for the month of May to be aware of as well.

To learn more about what happened in the month of May see below!

New Rules, Regulations, and Guidance

Upcoming Filings:

  • TIC Form S is due on June 15th, 2021.
  • TIC Form SLT is due on June 23rd, 2021.
  • Distribute audited financial statements to investors in “funds-of-funds.” is due on June 29th, 2021.
  • Periodic Report for CPOs is due on June 30th, 2021.
  • To stay up to date with the SEC Filing Deadlines in 2021 click HERE to view Vigilant’s Filing calendar.


  • SEC Hot Topics for Retail Investors is on June 8th, 2021 at 5:00 PM ET. The registration page can be found HERE.
  • SEC Investor Advisory Committee Meeting is on June 10th, 2021 at 10:00 AM ET. To add this to your calendar click HERE.
  • To see upcoming 2021 SEC Meetings and Public Appearances click HERE.


Vigilant Insights:

  • Vigilant created a quick 3 minute recap from their ESG Investing Webinar with Paul Hastings.
    • Vigilant co-hosted an Asset Manager’s Guide to ESG Investing with Paul Hastings on May 25th, 2021. For those that could not attend or did not register Vigilant provided a quick recap video to help you gather a better understanding around ESG. To view the recap video click the image below!
  • Vigilant continues to expand its offerings with Vigilant Distributors.
    • Building upon our brand, Vigilant offers Distribution solutions to help further expand our offerings. We aligned our resources to our clients’ needs. This allows our clients to redeploy assets to provide improved outcomes for their investors. To learn more about Vigilant Distributors solutions and key takeaways click HERE.

SEC Releases:

  • S&P Dow Jones Indices Gets Charged with Failures Relating to Volatility-Related Index.
    • On May 17th, 2021, the SEC settled charges with S&P Dow Jones Indices for Failures Relating to Volatility-Related Index for which they agreed to a cease-and-desist order and to pay a $9 million penalty. Interesting in learning more about the full release? Click HERE for the full story.