“Pay-to-Play” Rule | SEC Proposes Rescission
September 4, 2026SEC Releases Introduction On September 3, 2026, the SEC proposed rescinding Rule 206(4)-5 under the Investment Advisers Act of 1940, commonly known as the “Pay-to-Play […]
Over $5 Trillion
In Client Assets Under Management.
Over 22 Years
Providing Compliance Services since August 15th, 2004.
Over 850+
Years of Collective Experience in the Investment Management and Financial Services Industry.
Vigilant
Vigilant is an award-winning and industry-leading firm with over 22 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.
About Us Our Team
Industry Trusted
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 850 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.
Read all insights
Vigilant Compliance Newsletter | August 2026
September 1, 2026Monthly Newsletter Printer Friendly Version In August, there were important releases including Vigilant Announcements, Vigilant Insights, and SEC Releases. Below is a brief overview of what […]
Vigilant Compliance Newsletter | August 2026
View full article
SEC Risk Alert | Lost Securityholder Rule Compliance
August 31, 2026SEC Releases Introduction The SEC’s Division of Examinations issued a Risk Alert on August 28th, 2026, regarding compliance with Exchange Act Rule 17Ad-17, known as […]