AI Compliance Considerations
April 14, 2026Vigilant Insights Introduction AI is quickly becoming part of how RIAs operate, whether through Portfolio Management tools, client communications, trading analytics, or compliance monitoring systems. […]
Over $5 Trillion
In Client Assets Under Management.
Over 21 Years
Providing Compliance Services since August 15th, 2004.
Over 675+
Years of Collective Experience in the Financial Services Industry.
Vigilant
Vigilant is an award-winning and industry-leading firm with over 21 years of expertise. As a full-service Outsourced Compliance Provider, we specialize in offering comprehensive compliance solutions to Registered Investment Advisers (RIAs) and Broker-Dealers. Our clients include a diverse range of RIAs, such as Private Equity firms, Hedge Funds, Closed-End Funds, ETFs, Mutual Funds, Real Estate Funds, and more.
Vigilant also has a FINRA Registered Broker Dealer that provides Registered Representative Services to Third Party Marketers, Wholesalers, M&A activity, Private Placements and more to firms/individuals that target Institutional Clients only. We also provide Statutory Distributor Services (Principal Underwriter) to Registered Funds (ETFs, Closed End/Interval Funds, Mutual Funds) that range from Millions to Multi-Billions in Assets Under Management (AUM). A core function performed within both of those Services is Marketing and Advertising Review through our team of Series 24 Licensed Professionals at a quick turnaround time on Marketing and Advertising material submissions.
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Industry Insights
Vigilant delivers thorough and detailed coverage of SEC Releases, such as Risk Alerts and SEC Enforcement Actions, along with Vigilant Insights and Thought Leadership. With a Team boasting over 675 years of collective experience in the Financial Services and Investment Management industry, we make sure our content is expertly curated and enhanced for optimal relevance and impact.
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Q1 2026 Compliance Trends | Vigilant Insights
April 14, 2026Vigilant Insights Introduction So far in 2026, both the SEC and FINRA are reinforcing a familiar message, Firms must demonstrate (not just document) effective compliance […]
Q1 2026 Compliance Trends | Vigilant Insights
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DOL Proposes New Fiduciary Framework for 401(k) Investment Selection
April 7, 2026News and Alerts Introduction The U.S. Department of Labor’s (DOL) proposed rule on “Fiduciary Duties in Selecting Designated Investment Alternatives” seeks to clarify how fiduciaries […]