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 18+

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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Commissioner Uyeda Discusses ESG In Depth | SEC Releases
Commissioner Uyeda Discusses ESG In Depth | SEC Releases
February 1, 2023

  SEC Releases Brief Introduction SEC Commissioner, Mark Uyeda, made multiple remarks on January 27th related to the use of environmental, social, and governance (ESG) investing. […]

Commissioner Uyeda Discusses ESG In Depth | SEC Releases
Commissioner Uyeda Discusses ESG In Depth | SEC Releases
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SEC Amendments to Form 13F Are Now in Effect
SEC Amendments to Form 13F Are Now in Effect
January 31, 2023

Vigilant Insights Brief Introduction The amendments for Form 13F announced in June 2022 have taken effect January 3rd, 2023. The SEC made these amendments to require certain paper filings to […]

SEC Amendments to Form 13F Are Now in Effect
SEC Amendments to Form 13F Are Now in Effect
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Firm Charged $5 Million for Misleading Disclosures
Firm Charged $5 Million for Misleading Disclosures
January 30, 2023

SEC Releases Brief Introduction On January 23rd, the SEC charged a firm five million dollars for misleading disclosures. The firm provided a subscription service that provided daily price […]

Firm Charged $5 Million for Misleading Disclosures
Firm Charged $5 Million for Misleading Disclosures
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