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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Over 370+

Years of Collective Experience in the Financial Services Industry.

Over 19+

Years Providing Compliance Services since August 15th, 2004.

$4 Trillion

Approx. in Client Assets Under Management.

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.

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Impact on Fund Names | SEC Adopts Rule Amendments
Impact on Fund Names | SEC Adopts Rule Amendments
September 21, 2023

SEC Releases Brief Introduction On September 20th, the SEC adopted Rule enhancements to prevent misleading or deceptive Investment Fund Names. The main focus by the SEC of this new […]

Impact on Fund Names | SEC Adopts Rule Amendments
Impact on Fund Names | SEC Adopts Rule Amendments
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Private Equity Firms Should Consider Outsourced Compliance
Private Equity Firms Should Consider Outsourced Compliance
September 19, 2023

Vigilant Insights Brief Introduction Vigilant frequently emphasizes the importance of a proactive compliance culture. Firms that take compliance seriously can help decrease their risk of expensive regulatory fines […]

Private Equity Firms Should Consider Outsourced Compliance
Private Equity Firms Should Consider Outsourced Compliance
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RIA Charged by the SEC for Repeat Compliance Failures
RIA Charged by the SEC for Repeat Compliance Failures
September 18, 2023

SEC Releases Brief Introduction A New York-based RIA was charged by the SEC for failing to adopt and implement written compliance policies and procedures, conduct an annual review […]

RIA Charged by the SEC for Repeat Compliance Failures
RIA Charged by the SEC for Repeat Compliance Failures
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