Mutual Fund Compliance Services

Vigilant Compliance provides outsourced Chief Compliance Officers for Mutual Funds. Critical to the effective performance of the CCO function is oversight of Mutual Fund service providers—the Fund Adviser, Fund Accountant, Custodian, Transfer Agent, Distributor, and Principal Underwriter. A Fund’s Compliance with the Investment Company Act of 1940, the Securities Exchange Act of 1934, the Securities Act of 1933, and other Regulations takes careful analysis and planning—and Vigilant brings both to Funds.

With Vigilant’s 5 Step Matrix SystemSM, you can choose our whole Matrix of Services, or only those that service your needs.

  • Conduct specialized meeting to determine your specific Compliance needs
  • Designate a VC Professional to serve as your Chief Compliance Officer
  • Prepare or Update your Fund Compliance Manual, Policies and Procedures
  • Prepare a Risk Matrix
  • Prepare and Maintain Fund Compliance Calendar
  • Conduct Compliance Review of All Critical Fund Areas
  • Review of Marketing Materials for Compliance with SEC and FINRA Rules
  • Review and document Compliance with the SEC’s Required Areas of Portfolio Management, Trading, Safety of Assets, Personal Trading by Access Persons, Disclosure Accuracy, Brokerage & Soft Dollar Usage, Privacy, and Books & Records
  • Conduct Due Diligence of Service Providers
  • Testing of Compliance Program Areas
  • Conduct you Required Annual Compliance Training
  • Conduct Insider Trading Training
  • Conduct Required Code of Ethics Training
  • Train Employees on SEC Requirements Applicable to Specific Employee Areas
  • Prepare Quarterly Board Compliance Reporting Materials
  • Preparation of Annual SEC Rule 38a-1 Report
  • Attend Board and Audit Committee Meetings
  • Completion of N-MFP Filings and Other Required Filings
  • Analyze Compliance Issues
  • Collect Supporting Documentation
  • Respond & Resolve SEC Inquiries and Examination

At Vigilant Compliance, we have the knowledge and skills you need to build a stronger future. With offices in New York, Philadelphia, Boston, Dallas and Washington, D.C., Vigilant Compliance is well positioned to help your business create and sustain an effective compliance policy. Contact Vigilant Compliance or call 1-888-229-1855 and find out how we can help you protect your interests.

Modified: August 21, 2018