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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SEC Hosting A Compliance Outreach Program Seminar On Nov. 15
September 23, 2022

SEC Compliance Outreach Program National Seminar The SEC recently announced the date for their Compliance Outreach Program National Seminar which will be on Tuesday, November 15th, at 8:30 […]

SEC Hosting A Compliance Outreach Program Seminar On Nov. 15
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SEC Charges $35 Million Over Failures to Protect “PII”
September 21, 2022

SEC Charges $35 Million Over Failures to Protect “PII” Brief Introduction On September 20th, the SEC charged a well known Firm with a $35 Million penalty over […]

SEC Charges $35 Million Over Failures to Protect “PII”
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Risk Alert “Reminder” | New Marketing Rule
September 20, 2022

EXAMS Issues Risk Alert on New Investment Adviser Marketing Rule Brief Introduction On Monday, September 19th, the Division of Examinations (“EXAMS”), released a Risk Alert towards upcoming review […]

Risk Alert “Reminder” | New Marketing Rule
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