Compliance Solutions

Regulatory Compliance Solutions for a diverse range of financial firms.

VIEW SOLUTIONS

Fund Distribution Solutions

Our Broker Dealer offers Principal Underwriting Solutions and more.

VIEW SOLUTIONS

Outsourcing Solutions

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

VIEW SOLUTIONS

Investment Management Consulting Solutions

Vigilant provides Comprehensive Advisory Solutions for Investment Management Clients.

VIEW SOLUTIONS

Cybersecurity Solutions

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

View Solutions

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

Industry Trusted

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.

Read all insights
SEC May Potentially Forbid Trading for 270 China-Related Companies by Early 2024
September 17, 2021

SEC Release | SEC Chairman, Gary Gensler Insights On September 13th, 2021, SEC Chairman, Gary Gensler, stated that the SEC may need to forbid trading in approximately […]

SEC May Potentially Forbid Trading for 270 China-Related Companies by Early 2024
View full article
Speaker Spotlight -Michael McGrath, Esq., CFA, on the New SEC Marketing Rule Webinar
September 16, 2021

  In preparation for our Webinar “Perspectives on Implementing the New SEC Marketing Rule” on October 6th, @ 12-1:30pm, we are highlighting our accomplished and credible speakers. […]

Speaker Spotlight -Michael McGrath, Esq., CFA, on the New SEC Marketing Rule Webinar
View full article
Important Information About the Upcoming Cybersecurity Rule
September 15, 2021

New Cybersecurity Rule Proposed | Vigilant’s Director Provides Insights On September 15th, 2021, Ignites released a cybersecurity article discussing SEC Chairman Gary Gensler’s Senate Committee hearing, […]

Important Information About the Upcoming Cybersecurity Rule
View full article