Compliance Solutions
Compliance Solutions
Vigilant helps financial firms operate within the bounds of regulations and guidelines, offering compliance solutions to protect your company. Our clients are from around the globe, and our professionals include many respected industry leaders. We follow best practices to help your business succeed.
You can find solutions to all your compliance issues with Vigilant. Our capabilities range from outsourced Chief Compliance Officers (“CCOs”) to corporate cybersecurity solutions. We tailor our solutions to your unique needs with the aim of strengthening your business for the future.
Investment Adviser
Every financial firm needs strategic planning and in-depth analysis from its CCO. This individual helps you comply with financial regulations, safeguarding your reputation and allowing you to grow.
What type of investment adviser compliance solutions do you need? We help you plan for growth by managing complex solutions. You can use our five-step matrix system to decide, choosing from possibilities including:
- Completing U.S. Securities and Exchange Commission (“SEC”) reports.
- Writing a compliance manual.
- Assessing risks.
- Performing due diligence.
Registered Investment Adviser ("RIA") Registration
When you search for a new advisory firm, you need experienced, knowledgeable professionals to guide you through the regulatory challenges. Vigilant offers an RIA quick-start solution to help draft policies and procedures, file forms and respond to regulatory comments. We can also provide training for your staff and partners.
Mock SEC Exams
Can your firm pass an SEC exam? Our program can prepare you with a mock live audit that follows SEC procedures. We test your compliance program and judge how it stands up to SEC policy. Our exam allows your associates to refamiliarize themselves with regulatory guidelines and lets you put new procedures in place to enhance your operations while complying with SEC laws. We do on- and off-site reviews, including interviews, and give a written summary of our findings.
Mutual Fund
Mutual funds that demand compliance oversight can benefit from our five-step matrix system, which outlines the information you need to remain in compliance and plan for the future. We can:
- Resolve SEC inquiries.
- Review marketing sources.
- Offer insider trading training.
- Create quarterly compliance reports for your board.
Hedge Funds
Having a good compliance program gives you a competitive edge. We can help you maintain your compliance program amid the unique risks incurred by hedge funds. Our professionals also aid you with complex transactions and prepare accurate filings.
Private Equity
We can register Private Equity firms, then develop and operate their compliance programs. Our sophisticated solutions also allow you to determine if you need to follow SEC-registered private equity adviser rules.
Exchange Traded Funds (“ETFs”)
The sharp rise in the popularity of ETFs sparked the adoption of Rule 6c-11. Your firm may have its own ETF or sell products another firm manages. Our solutions can assist with either, including submissions to the Financial Industry Regulatory Authority (“FINRA”) to ensure your sales and market campaigns comply with regulatory requirements and reviewing fund service providers.
Broker-Dealer
Broker-dealers are subject to strict compliance requirements to safeguard the interests of their clients as well as protect firm assets. We provide many compliance solutions, such as:
- CCO support.
- FINRA compliance evaluation.
- Financial Operation Principals.
You may be subject to penalties if you violate SEC rules governing broker-dealers. We can help you determine if you are a broker and how to register.
Get Started With Vigilant Today
Our unparalleled knowledge and experience can help your firm of financial advisers remain in compliance and avoid regulatory headaches. By learning your firm’s history and culture, our professionals can operate at a level you feel comfortable with while readying you for future growth. Contact us today to request a proposal tailored to your firm’s needs.
