Misleading AI Marketing Statements | $523k SEC Charge
October 17, 2024SEC RELEASES Introduction On October 10th, the SEC announced charges against a Firm and its controlling members for their use of AI in advertising, and […]
Approx. in Client Assets Under Management.
Providing Compliance Services since August 15th, 2004.
Years of Collective Experience in the Financial Services Industry.
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 insightsSEC RELEASES Introduction On October 10th, the SEC announced charges against a Firm and its controlling members for their use of AI in advertising, and […]
Vigilant Announcements (Vigilant Becomes Three (3) Time Hedgeweek Award Winners) For the third year in a row, Vigilant was awarded as the Best Regulatory Advisory & Compliance […]
VIGILANT INSIGHTS Introduction As the SEC’s new liquidity and fee requirements went into effect Wednesday, October 2nd, 2024, many Firms have decided to terminate or […]