Published on Dec 30th, 2021 |

5 Ways Vigilant can Help You Start 2022 Strong | Vigilant Insights

As we transition into the new year, it is important to have a strong Compliance program and gain a competitive advantage heading into 2022.

Here are 5 ways Vigilant can help YOU gain a competitive advantage in 2022:

  1. Industry-best practices that can define the future of your business.
  2. We help provide the in-depth analysis and strategic planning you need to succeed by providing a full gap analysis of your current Compliance Program. It is worth noting that Vigilant can provide a thorough gap analysis to help your Firm comply with the new Marketing Rule that has a Compliance Date of November 4th, 2022.
  3. Vigilant has experience in a wide range of investment solutions: Open End Funds, ETFs, Separately Managed Accounts, Unified Managed Accounts, Private Equity, and Debt. Our team has the experience to customize a Program that fits your needs in the most cost-effective manner.
  4. Comprehensive compliance training is provided by Vigilant, tailored to standard and company-specific solutions.
  5. Vigilant can assess current, existing, and potential risks to you and your company.

“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.”

– Salvatore Faia, JD, CPA, CFE, President

Here at Vigilant we offer quality services:

Investment Adviser Compliance:

  • We provide the in-depth analysis and strategic planning you need to succeed
  • We can manage your entire Compliance Program or parts of your Compliance Program allowing you to focus on accomplishing your core objectives

Investment Adviser Training:

  • Vigilant Compliance provides comprehensive compliance training tailored to standard and company-specific solutions

Mutual Fund Compliance:

  • Vigilant Compliance provides mutual fund leaders with the knowledge they need to stay in compliance in today’s complex regulatory environment

Private Equity and Hedge Funds:

  • Vigilant can identify potential conflicts of interestdevelop compliance programs for complex transactions and perform counter party reviews
  • You can also complete required Code of Ethics training, and resolve SEC inquiries

Exchange-Traded Funds (ETF Compliance):

  • Vigilant has extensive experience working with SEC Registered Investment Advisers who manage ETF products, as well as manage the compliance program for ETFs
  • Vigilant will provide your firm with all of the appropriate policies and procedures

Broker Dealer Compliance:

  • Vigilant provides multi-dimensional, sophisticated consulting services, and outsourced Chief Compliance professionals for new and existing broker dealers
  • Vigilant can also support your CCO
  • We also offer Broker Dealer Registration as well

Active Distribution:

  • Vigilant offers a unique Sales Solution for the Boutique Asset Manager through our network of Independent Wholesalers.
  • Vigilant offers solutions tailored for your strategy and target audience
  • Vigilant’s Distribution solutions are customizable, scalable, and affordable
  • When partnering with Vigilant you can customize your channel, geography, and level of sophistication, all through which your company’s goals are aligned

Outsourced Financial Operations Services:

  • Vigilant can provide your broker dealer with an outsourced financial operations principal (FINOP) who helps your member firm meet its strategic goals

Cybersecurity Solutions:

  • Vigilant can assess current, existing, and potential risks to you and your company
  • Vigilant provides outsourced Cybersecurity Services for your firm to mitigate cyber risks and attacks

RIA Registration:

  • Vigilant provides comprehensive RIA registration services, including drafting application forms, developing policies and procedures, and responding to regulatory comments

Mock SEC Exam:

  • This program will prepare your firm and employees for an SEC exam through live examination conducted by Vigilant, which mirrors the key procedures followed by the SEC

The Vigilant Team is always happy to schedule a time to chat, feel free to contact us with any questions!