Investment Adviser Compliance Training

The Foundation of Compliance

Registered Investment Adviser Compliance Training is extremely important for Investment Advisers and all of their personnel, as CCOs don’t “do” compliance. Rather, each and every person at the Adviser level must “do” compliance in their area of activity, as part of an overall program that is administered by the CCO. Vigilant Compliance offers a range of standard and company-specific compliance training programs on all aspects of regulation and compliance, to assist Adviser CCOs in the creation of a stronger and more-effective compliance foundation.

We all know ignorance of the law is no excuse, and neither is ignorance of firm policies and SEC expectations. At Vigilant, we can provide your firm with Compliance Training Consultants who know industry best practices that meet or exceed SEC expectations. Vigilant can provide your employees with the knowledge necessary keep your firm in compliance with all applicable laws, procedures and other requirements.

Why Your Firm Needs Investment Compliance Training

As an investment adviser, your firm acts as a fiduciary for your clients. That means you have a legal and ethical responsibility to provide advice and perform transactions that are in the best interests of your clients. In addition to providing truthful financial advice that suits the needs of your client, your firm must also fully disclose material information, and avoid misleading clients with false or deliberately unclear information. Failure to act as a responsible fiduciary threatens the financial safety of your clients and the viability of your business. Registered investment advisers are required by law to develop and follow a written compliance policy that prevents fraud and protects clients. They are also required to file regular reports to the SEC.

The responsibility to maintain compliant with SEC rules and regulations rests on the shoulders of all associates, not only the CCO. Vigilant Compliance can provide investment compliance training to all members of your team so your firm creates and sustains a culture where legal, ethical practices are the norm. Vigilant Compliance will help you develop written policies and procedures should your firm lack the required safeguards, and will ensure that you and your associates have the knowledge necessary to monitor your compliance with all applicable rules and regulations.

 

RIA Compliance Training Services Offered by Vigilant Compliance

Some of the services offered by Vigilant Compliance include:

  • Policy development. If you are a principal opening a new firm, you and your colleagues need to develop a culture of compliance from inception. At Vigilant, we can provide your firm with the necessary SEC investment adviser compliance training, that provides you with the information you need to build a successful compliance program. Let Vigilant Compliance review your business plan and devise a compliance strategy that preserves your reputation and capacity for growth.
  • Policy review. If your firm is the undergoing a regulatory examination, or if it’s simply time to review your existing procedures, Vigilant Compliance can help. Please contact us today, and let us provide you with customized policies and procedures containing applicable regulatory requirements and industry best practices .
  • Mock SEC exams. Our team of Compliance experts can help your firm prepare for the likely event of an SEC Examination through our Mock SEC Exam services. If you are a newly registered investment adviser or you have not been examined in years, a Mock SEC Exam is great tool to gauge your firm’s preparedness and identify potential gaps in your Compliance Program.
  • Marketing, advertising and communications reviews. Do your marketing and advertising meet regulation or push uncomfortable boundaries? Ask Vigilant Compliance about our marketing and advertising review services and keep your firm in compliance.
  • Regulatory report preparation, review and filing. Investment advisers must prepare and submit accurate reporting forms. We can help you prepare, review and file various required reports, such as; Form ADV, Form PF, 13F, 13G and 13H..
  • Forensic review. Let Vigilant investigate potential non-compliance and recommend remediation that will help secure your firm’s compliance foundation.
  • Cybersecurity Services. One of the greatest risks to a firm’s security are the people whom they employ, including themselves. Most cyberattacks are through strategies such as phishing attacks, which can be mitigated, but due to the lack of knowledge, employees are allowing these cyber-attacks to compromise their firm’s data security. A Vigilant Compliance, we have IT Security Experts that can help train your employees on key areas of risk and industry best practices to maintain a secure and safe IT network.
  • CCO Support. Are you tired of wiring multiple hats? Does you firm not have adequate resources in place to support you in your role as CCO? Let Vigilant be your Compliance Staff. At Vigilant we provide our clients with the knowledge and support in fulfilling their duties as CCO. Whether you are engaging Vigilant to forensically examine an areas of complexity or a  large volume of tidiest tasks, Vigilant has the resources and expertise to assist you in maintaining Compliance with regulatory requirements and firm policy.
  • Outsourced CCO. If your firm requires a CCO, but you do not have  qualified personnel on staff or the resources, ask us about outsourcing your firm’s CCO role to Vigilant. Vigilant Compliance can provide your firm with an experienced, qualified professional who will direct your compliance needs and create a sustainable Compliance Program that will meet and/or exceed regulatory requirements.

Contact Vigilant Compliance for More Information

With Vigilant Compliance’s 5 Step Risk Matrix, your firm can choose the services your business needs most. Develop or review your compliance policy, prepare and submit SEC filings, conduct a specialized review, train associates and respond to SEC inquiries using our consultants’ knowledge and skills. With offices in New York, Philadelphia, Boston, Dallas and Washington, DC, Vigilant Compliance is well positioned to help your business create and sustain an effective compliance policy.

It only takes one individual not following rules and regulations to bring a company down. Contact us now or call 1-888-229-1855 for a consultation on how we can assist you in designing a customizable compliance training program that fits the needs of your firm.