Who Is This Applicable To?
- Registered Investment Advisers (“RIAs”)
- Mutual Funds
- Exchange Traded Funds (“ETFs”)
- Broker Dealers
- Firms meeting the requirements for SEC Registration
Cost Effectively Reducing the Compliance Burden
The regulatory environment surrounding the securities industry continues to rapidly change and become more and more complex.
The threat of a U.S. – led Global Recession is a real concern. Whether this ends up being a hurricane or tropical depression, many companies are allocating capital conservatively. As a result, many firms are prepping balance sheets until forecasts call for sunnier skies.
After the SEC set a record for Rule Proposals and Amendments in 2022, with the perceived intention of finalizing nearly every one of them, the SEC has pushed Firms to invest heavily in their Compliance programs.
A continuous trend in 2023 is the difficulty for Firms and/or Dually-Hatted CCOs to stay up-to-date with the many regulatory changes. For Firms experiencing the inefficiencies and risks of “Do It Yourself” Compliance, Vigilant has seen Firms (both small and large) outsource many of their compliance needs either partially or fully.
6 Advantages Of Partnering With Vigilant
For approximately 19 years, Vigilant has built customized and best-in-class approaches to managing compliance obligations for a diversified range of investment/asset management clients.
Vigilant won the 2022 Hedge Week/Bloomberg Best US Compliance and Regulatory Advisory Firm and has been shortlisted for a number of Industry recognized awards.
Gain access to highly qualified industry experts with over 370+ years of industry experience.
Improve Your Firm’s Efficiency
Allow our compliance professionals to focus on maintaining the Compliance Program and for your Firm to focus on achieving their business goals.
Reduce Turnover Costs and Disruptions in Your Firm
If Compliance responsibilities are routinely falling on Officers and other employees wearing multiple hats.
Outsourcing is flexible enough to provide emergency plug-and-play staffing solutions when a sudden need arises.
From having to navigate the complex, ever-changing rules/regulations, and aggressive SEC actions. Vigilant can help your firm limit its exposure to the high penalties being handed out by the SEC.
Vigilant’s Final Conclusion
There are many factors to consider when deciding whether to outsource the Compliance responsibility or keep it in-house.
Ultimately, the goal should be to move towards a proactive Compliance approach within your Firm to remain ahead of the current regulatory environment.
Leveraging deep industry experience, Vigilant is prepared to help your firm reduce regulatory burden, improve efficiency, and focus on the core business objectives within the Compliance program.
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