ETF (Exchange Traded Funds)
ETF Compliance Services
Vigilant is an Award Winning and Industry Leading Compliance Firm that continues to remain Independent and Privately Held delivering Clients with end to end Solutions that they can trust. Our clients advise or distribute billions of dollars of Exchange-Traded Funds (ETF) every year. Vigilant is 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.
Vigilant’s ETF Group currently serves as Outsourced CCO and CFO 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/PFO Services
- Investment Adviser Compliance and Oversight
- Fund Registration Support
- Service Provider Selection and Due Diligence
- Service Provider Integration and Coordination
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 and customized compliance policies and procedures, and often receive additional regulatory scrutiny.
Our experienced professionals, who hail from the 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 Services
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.
Protect Your Firm With ETF Compliance Services
Any firm that outsources SEC compliance to Vigilant helps reduce the risk of violating federal and state regulations and incurring costly penalties. Our ETF Compliance Services can also offer a host of additional benefits including:
- Access to Expertise: Our ETF Compliance Consultants stay abreast of the regulatory changes, preventing your firm from committing an unintentional violation.
- Cost Savings: Outsourcing is often more affordable than hiring and maintaining an in-house compliance officer or team. You’ll avoid paying for add-ons like fringe benefits and bonuses, and you won’t incur the costs associated with employee turnover.
- Proactive Approach: Firms may not recognize a compliance violation until it’s too late. Our ETF Compliance Consultants have the experience to anticipate potential issues and implement preventive measures.
- Dealing with Regulators: The SEC and other regulatory agencies have strict protocols for responding to inquiries, reporting and filing documents. Our in-depth knowledge of the system and how it works can save time and prevent costly mistakes.
- Scaling Flexibility: As your firm grows, your compliance concerns and needs will likely increase. Vigilant has the resources to scale quickly to keep pace with your evolving requirements.
Contact Vigilant for More Information
With team members in New York, Philadelphia, Boston, Texas, Metro Washington, D.C., Pittsburgh, Tennessee, Georgia, Florida and around the nation, Vigilant is well positioned to help your business create and sustain an effective ETF Compliance Program.
Contact Vigilant today to learn more about how we can help with a new Fund launch or on-going Compliance.
