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 […]
Years of Collective Experience in the Financial Services Industry.
Years Providing Compliance Services since August 15th, 2004.
Approx. in Client Assets Under Management.
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 TeamEvery 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 insightsVIGILANT INSIGHTS Introduction As the Marketing Rule continues to be a major topic for enforcement in 2024, it would be prudent for Firms to have […]
Monthly 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 […]
SEC RELEASES Introduction Artificial Intelligence (“AI”) continues to grab the attention of regulators that are trying to stay ahead of the risks to investors. In […]