Dangers of Social Media Influencers | Thayne Gould Reacts
May 10, 2024VIGILANT INSIGHTS Introduction As the Marketing Rule continues to be a major topic for enforcement in 2024, it would be prudent for Firms to have […]
Over 500+
Years of Collective Experience in the Financial Services Industry.
Over 19+
Years Providing Compliance Services since August 15th, 2004.
$4 Trillion
Approx. in Client Assets Under Management.
Vigilant
Every CCO at Vigilant has extensive experience in the Investment Industry ― and each exceeds SEC standards for Knowledge, Competency, and Compliance abilities. Professional excellence and service are our hallmarks.
Vigilant was established on August 15, 2004. Vigilant is a full service Investment Management Solutions Firm providing, Investment Adviser Compliance Solutions, Mutual Fund Compliance Solutions, Broker Dealer Compliance Solutions, and Compliance Consulting to a diversified range of investment management clients.
About Us Our Team
Industry Trusted
Industry Insights
Every CCO at Vigilant has extensive experience in the Investment Industry ― and each exceeds SEC standards for Knowledge, Competency, and Compliance abilities. Professional excellence and service are our hallmarks.
Read all insights
Vigilant Compliance Newsletter | April 2024
May 2, 2024Monthly Newsletter In April, we saw Vigilant Insights, SEC Charges, SEC Releases, and a FINRA Fine. Below is a brief overview of what took place in the month […]
Vigilant Compliance Newsletter | April 2024
View full article
Director of Enforcement Division Talks AI | Key Takeaways
April 30, 2024SEC RELEASES Introduction Artificial Intelligence (“AI”) continues to grab the attention of regulators that are trying to stay ahead of the risks to investors. In […]