Exchange Traded Funds

Exchange-Traded Funds Compliance

Our clients advise or distribute billions of dollars of Exchange-Traded Funds (ETF) every year, so we are well versed in the unique needs of investment managers working with these products. These include the requirements of Rule 6c-11, exchange listing standards, and other requirements applicable to Fund boards and investment advisers to these products.

As ETFs have exploded in growth during the last 15 years, culminating in Rule 6c-11’s adoption, Vigilant has worked with numerous companies including those managing more complicated, actively managed and leveraged ETFs that require tailored customized compliance policies and procedures, and often receive additional regulatory scrutiny. Our experienced professionals, who hail from the legal, financial and accounting industries, give you the insight and expertise needed to grow your business comfortably, knowing that your compliance program is in good hands.

Vigilant’s ETF Compliance Solutions

Whether your business sells ETF products managed by another firm or you’d like to develop your own ETF, Vigilant can help. Our ETF specific solutions include:

  • Review and Submission to FINRA, if applicable, of sales and marketing materials and campaigns to assure compliance with all applicable laws and regulatory requirements.
  • Development of a comprehensive compliance program including Rule 6c-11, Liquidity Risk Management, and Index Provider Review policies.
  • Reviewing Fund service providers, including Index Providers or Calculation Agents, as an SEC best practice.

Contact Vigilant for More Information

Vigilant is prepared to help your business grow with Exchange-Traded Funds. For more information about our ETF services, get in touch with us at our New York, Philadelphia, Boston, Dallas or Washington, D.C. office.

Contact Vigilant today for a consultation.