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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EXAMS Provides a Risk Alert on their Review of ESG Investing
April 12, 2021

On April 9th, 2021 the Division of Examinations (EXAMS) released a Risk Alert on their Review of ESG Investing. Recently, there has been increasing investor […]

EXAMS Provides a Risk Alert on their Review of ESG Investing
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Vigilant Insights Rule 6c-11
April 7, 2021

Vigilant has provided content on Rule 6c-11 for Advisors. Managing Director, Perpetua Seidenberg, CPA, MBA, IACCP provided insights and comments towards the Rule. Below will […]

Vigilant Insights Rule 6c-11
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Vigilant Newsletter for March 2021
April 7, 2021

  As Q1 comes to an end there are lots of important Announcements and Industry Updates! One of the most awaited updates came early this month […]

Vigilant Newsletter for March 2021
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