Compliance Solutions

Regulatory Compliance Solutions for a diverse range of financial firms.

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Fund Distribution Solutions

Our Broker Dealer offers Principal Underwriting Solutions and more.

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Outsourcing Solutions

Fully support your team by outsourcing Vigilant’s industry-leading professionals.

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Investment Management Consulting Solutions

Vigilant provides Comprehensive Advisory Solutions for Investment Management Clients.

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Cybersecurity Solutions

Vigilant offers Cybersecurity Solutions to detect risks and keep businesses secure.

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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.

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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 Shortlisted as Best Compliance Advisory Firm for 2023
Vigilant Shortlisted as Best Compliance Advisory Firm for 2023
November 30, 2022

Vigilant Announcements Vigilant is thrilled to announce that we have been shortlisted as the Best Compliance Advisory Firm for the Fund Intelligence Operations & Services Awards 2023. The Fund […]

Vigilant Shortlisted as Best Compliance Advisory Firm for 2023
Vigilant Shortlisted as Best Compliance Advisory Firm for 2023
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SEC Announces Strategic Plan for 2022-2026
SEC Announces Strategic Plan for 2022-2026
November 29, 2022

SEC Releases Brief Introduction The SEC published a 16-page document highlighting their strategic plan for 2022 through 2026. In addition to comments from the SEC chair […]

SEC Announces Strategic Plan for 2022-2026
SEC Announces Strategic Plan for 2022-2026
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SEC Charges $4 Million Over Investments Misrepresented as ESG
SEC Charges $4 Million Over Investments Misrepresented as ESG
November 23, 2022

SEC Releases Brief Introduction On November 22nd 2022, the SEC charged a major investment firm $4 Million dollars in relation to their management of Funds identified as Environmental, Social, […]

SEC Charges $4 Million Over Investments Misrepresented as ESG
SEC Charges $4 Million Over Investments Misrepresented as ESG
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