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
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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Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades | Risk Alerts On July 21st, the Division of Examinations […]
Mutual Fund to ETF Conversion | Vigilant Insights What steps are you taking in this vital structural decision? According to ETF.com, there has been $900 billion […]
Compliance Recap June 2021 | Monthly Newsletter In the month of June there were many important SEC Releases, as well as quite a few insights and takeaways from […]
