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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Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades
July 23, 2021

Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades | Risk Alerts On July 21st, the Division of Examinations […]

Division of Examinations Releases Risk Alert about Examining Investment Advisers on Principal and Cross Trades
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Mutual Fund to ETF Conversion
July 22, 2021

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 […]

Mutual Fund to ETF Conversion
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June 2021 Compliance Recap
July 16, 2021

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 […]

June 2021 Compliance Recap
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