Exchange-Traded Funds Compliance

If your broker-dealer or investment adviser firm sells or plans to sell exchange-traded funds (ETF), you’ll need to be prepared with a specialized ETF compliance program that meets strict regulatory requirements.

Vigilant has extensive experience working with SEC Registered Investment Advisers who manage ETF products, as well as manage the compliance programs for ETFs. Vigilant has extensive knowledge and experience, which allows us to provide your firm with the appropriate policies and procedures. All of which, allows you to manage the compliance program of your ETF product.

With Vigilant, we allow you to focus on the managing your firm, clients, and investments, without worry, knowing that a highly qualified and experienced firm is managing your compliance program with industry leading professionals and standards.

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ETF Compliance Services

The domestic and markets for ETFs attract new investors every day. Vigilant Compliance tailors customized solutions for investment advisers that work with ETFs, including firms that wish to develop their own funds. Our experienced professionals, who hail from the legal, financial and accounting industries, give your business the comprehensive insight and expertise you need to stay in compliance of all federal and state laws, while maximizing your opportunities for growth.


Vigilant's ETF Compliance Services

Whether your business sells ETF products managed by another firm or you’d like to develop your own ETF, Vigilant Compliance can help. Our services include:

  • Completion and filing of all required quarterly and annual forms.
  • Review of sales and marketing materials and campaigns to assure compliance with state and federal laws.
  • Outsourced FinOp and CCO services, on a part-time and full-time basis. All CCO professionals have a minimum of 20 years of relevant industry experience.
  • Development of a comprehensive compliance policy for new member firms, and revising outdated policies for improved security.
  • Technology reviews, including cybersecurity reviews, that ensure your system’s performance matches the needs of your business.

When your member firm needs additional compliance services, ask Vigilant Compliance about our 5-Step Matrix SystemSM. The 5-Step Matrix SystemSM allows your business to select the consulting options that meet your specific needs, scaling from Mock SEC testing to complete compliance development and staffing.

Contact Vigilant Compliance for More Information

Vigilant Compliance is prepared to help your business grow with exchange-traded funds. For more information about our ETF services, get in touch with us at our New York, Philadelphia, Boston, Dallas or Washington, D.C. office.

Contact Vigilant Compliance today for a consultation.

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Modified: November 7, 2018