Published on Jan 19th, 2022 |

With new Rules and Regulations taking effect this year like the new Marketing Rule, Derivatives Rule, and more, it is important develop an effective Compliance Strategy to comply with these new changes.

Here are 6 effective Compliance Strategies to comply with the new changes ahead:

  1. Determine your goals.
  2. Identify what Rules and Regulations apply to your business.
  3. Draft clear Policies and Procedures.
  4. Build an effective Training Program for your employees.
  5. Plan ahead to ensure you are prepared for a Regulatory Examination.
  6. Ensure all data and documents are secure and organized.

Final Conclusion

Building an effective Compliance Strategy is crucial, and is something that can be a big lift for some Firms. At Vigilant, we have been in the industry for 17 years and have over 300+ years of experience uniting Regulatory Compliance, Legal, and Financial Expertise. We are flexible in our ability to support or fully take over your Compliance responsibilities. If you would like to learn more about Vigilant, contact us here.


About Vigilant Contact Us

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

Compliance Proposal