Compliance Solutions

Compliance Solutions

Vigilant helps Registered Investment Advisers (“RIAs”) and Broker Dealers operate within the bounds of regulations and guidelines, offering compliance solutions to protect your company. Our clients are from around the globe, ranging from $0 to $30 Billion+ in Assets Under Management (“AUM”). Our team of professionals include many respected industry leaders and veterans who have either served as Chief Compliance Officer (“CCO”) before or have deep compliance expertise. We follow best practices to help your business succeed while providing best in class, high touch, customized CCO Services.

You can find solutions to all your compliance issues with Vigilant. Our capabilities range from Outsourced CCO to Distributor Solutions. We tailor our solutions to your unique needs with the aim of strengthening your business for the future.

Investment Adviser (RIAs)

Every RIA 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.

In today’s aggressive regulatory environment, RIAs need to be closely monitoring new rules and regulations that are coming into effect. As an RIA registered with the SEC, you are required to have a named CCO on the ADV. Whether you need an Outsourced CCO or CCO Support, having a partner to help not only strengthen your compliance program but also monitor the new rules and regulations closely is crucially important.

With a variety of investment adviser compliance solutions, we help you plan for growth by managing your compliance program closely. Vigilant utilizes a 5 Step Process below to manage compliance programs effectively.

  • Define and Devise.
  • Implement and Manage.
  • Educate and Train.
  • Review Report and File.
  • Inquiries Respond and Resolve.

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Private Equity Advisers and Funds

Private Equity Advisers and Funds require individuals with deep expertise, specifically in the Private Equity space, when serving as either Fund or Adviser CCO.

With the ever changing rules and regulations, and more recently the Private Fund Rule, having a knowledgeable compliance team is more important now than ever.

Vigilant has deep Private Equity experience providing CCO Services from Outsourced CCO to Limited Support. With over 500+ years of experience in the industry, you can trust Vigilant to provide you with a compliance team that is experienced and knowledgeable. In doing so, we are happy to have you meet the compliance team prior to utilizing us.

Learn more about our Private Equity CCO Services below and how we can help.

Real Estate Funds and Advisers

Vigilant helps both existing RIAs and Real Estate Firms that are not currently registered and are evaluating if they need to be SEC Registered. Since there are certain exemptions for Real Estate Funds, we help assess firms’ structures to see if they are required to be registered with the SEC.

Headed up by our Managing Director of Real Estate Fund Solutions, Bernadette Murphy, MSL, we provide deep experience and knowledge in Real Estate Fund rules and regulations.

Through our deep experience, we work with a variety of Real Estate Fund structures below (although not limited to):

  • Private and Public Real Estate Lending Funds
  • Private Equity Real Estate Funds
  • Real Estate Joint Ventures
  • Vertically integrated Commercial Real Estate Advisers
  • Investment Advisers to ERISA and Government Pension Funds
  • Special Opportunities Real Estate Investment Funds

Whether you need an Outsourced CCO or need Support for your in-house or dual-hatted CCO, we are here to help end to end.

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Hedge Funds and Hedge Fund Advisers

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.

Specifically in the Hedge Fund space, Vigilant is not only well versed but has also been recognized in the Hedge Fund Industry for the following awards since 2022:

Learn more about our high touch CCO Services and meet your proposed compliance team here.

Mutual Funds and Mutual Fund Advisers

Mutual Funds and Mutual Fund Advisers that demand compliance oversight can benefit from our high touch CCO Services, which outlines the information you need to remain in compliance and plan for the future. We can:

  • Resolve SEC inquiries.
  • Review marketing sources.
  • Offer code of ethics and insider trading training.
  • Create quarterly compliance reports for your board.
  • And much more.

We provide value in our CCO services by offering an array of benefits below:

  • Proactive Approach
  • Access to Expertise
  • Dealing with Regulators
  • Scaling Flexibility
  • Significant Cost Savings compared to an In-House Solution

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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.

With a common trend of Mutual Fund to ETF conversions, Vigilant was one of the first to go through that with one of our clients. We work with ETFs and ETF Advisers ranging from $40 Million to $28 Billion and have a variety of CCO Solutions to help fit within both your needs and budget.

Contact Us today if you are in need of CCO Services or Principal Underwriter (Statutory Distribution) Services for your ETF(s).

Closed End Funds and Closed End Fund Advisers

Vigilant currently serves as both Outsourced CCO and CFO for Closed End Funds and Advisers, providing guidance and advising on regulatory, operational, and governance matters that include the following:

  • Adviser CCO and CFO Support Services
  • Outsourced Fund CCO and CFO Services
  • Investment Adviser Compliance and Oversight
  • Fund Registration Support
  • Service Provider Selection and Due Diligence
  • Service Provider Integration and Coordination

There are three types of Closed End Funds below that we commonly work with:

  • Interval and Tender Offer Funds
  • Equity Oriented Closed-End Funds
  • Fixed-Income Oriented Closed-End Funds

Leveraging industry veterans with deep experience with Closed End Funds, we build upon that service offering by providing high touch, best in class CCO Services for our clients.

Learn more about our Closed End Fund Solutions and how we can help below.

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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:

  • Outsourced CCO or CCO support.
  • Broker Dealer Registration with FINRA
  • Mock FINRA Exam.
  • Financial Operation Principals (FinOp).

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, as well as provide ongoing CCO Services thereafter registration or for existing Broker Dealers.

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Mock SEC Exams

Can your firm pass an SEC exam? Our program can prepare you with a Mock SEC Exam that follows SEC procedures. In any given year, Vigilant may see 15-25 SEC Exams, which means we can provide you with a custom, tailored initial request list to match your firm and its overall structure.

We test your compliance program and judge how it stands up to SEC policy. Our Mock 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 perform reviews that includes a thorough high level review of the documents provided from the request list, interviews with key personnel and a written report of our findings and recommendations.

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.

Once you become SEC Registered, you are required by the SEC to have a named CCO on the ADV. If you do not have the internal expertise to do so, Vigilant can be a cost-effective solution compared to bringing on an in-house CCO while still providing you with an industry veteran to serve in that capacity. If there is someone at the firm who is comfortable being the name CCO but still needs support, we do so for our clients end-to-end or on a more limited basis.

Learn more about the initial and ongoing Registration requirements and how we can help below.

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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.