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
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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Over the past few weeks, months, and in recent years, ESG has gained more popularity from investors, money managers, and even regulators. We’ve heard from clients and […]
As the SEC Marketing Rule’s Effective Date approaches on May 4th (Compliance Date is November 22nd, 2022), it is important to have a strong understanding of what […]
As Q1 comes to an end, we have seen a lot of forecasted trends for 2021 already taking place in the Industry. These trends […]
