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 […]
$4 Trillion
Approx. in Client Assets Under Management.
Over 20 Years
Providing Compliance Services since August 15th, 2004.
Over 500+
Years of Collective Experience in the Financial Services Industry.
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
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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.
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Vigilant Becomes Three (3) Time Hedgeweek Award Winners!
October 11, 2024Vigilant 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 Becomes Three (3) Time Hedgeweek Award Winners!
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Many Firms Abandon Prime Institutional Funds | Fred Teufel Insights
October 7, 2024VIGILANT 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 […]