Investment Adviser

Investment Adviser Compliance Solutions

When your firm needs comprehensive Compliance Solutions, turn to Vigilant. The professionals at Vigilant are the premier Investment Adviser consultants in the industry, and we provide innovative solutions to the most challenging compliance problems.

When your business partners with our Investment Adviser Compliance Firm, you and your clients will benefit from sophisticated strategies that protect your interests and positions your company for strong growth. Compliance with the Investment Adviser’s 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 Investment Advisers.

Customized Solutions To Fit your Firm’s Culture

At Vigilant, we believe every financial firm needs compliance policies and procedures that complement the culture and addresses necessary regulations. This tailored approach leads top investment firms from around the globe to Vigilant, where our Outsourced Compliance Solutions protect both profits and reputations.

Vigilant utilizes a 5 Step Process to manage effective Compliance Programs.

Vigilant’s 5 Step Process

Define and Devise
  • Conduct specialized meeting to determine your specific Compliance needs
  • Designate a VC Professional to serve as your Chief Compliance Officer
  • Prepare or Update your Investment Adviser Compliance Manual,
  • Policies and Procedures
  • Prepare a Risk Matrix
  • Prepare and Maintain Fund Compliance Calendar
Implement and Manage
  • Conduct Compliance Review of All Critical Adviser 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
Educate and Train
  • Conduct your Required Annual Compliance Training
  • Conduct Insider Trading Training
  • Conduct Required Code of Ethics Training
  • Train Employees on SEC Requirements Applicable to Specific Employee Areas
Review Report and File
  • Prepare Quarterly Board Compliance Reporting Materials
  • Preparation of Annual SEC Rule 206 (4)-7 Report
  • Complete Form ADV Amendments and State Notice Filings
  • Prepare 13F Filings, 13G Filings, 13H Filings
Inquiries Respond and Resolve
  • Analyze Compliance Issues
  • Collect Supporting Documentation
  • Respond & Resolve SEC Inquiries and Examination

When you partner with Vigilant, our experienced RIA Compliance Consultants can provide:

  • RIA Registration Services, including the development of policies and procedures.
  • On-Going Compliance Support to assist you in getting your Compliance Program up and running.
  • Gap Analysis of current Policies, Procedures, and Practices.

We’ve integrated this system into our investment adviser compliance services for a comprehensive approach. We’ll work with you to define your organization’s compliance requirements and develop and implement a strategy to manage them more efficiently. We also offer training and education opportunities for you and your staff and assist with filing and reporting requirements. We’ll even help you respond to and resolve Securities and Exchange Commission (SEC) inquires, including collecting and submitting supporting documentation.

Choose the solutions you need most, including outsourced Chief Compliance Officer solutions, development and implementation of policies and procedures, risk assessment and management, and more. Our Senior Staff Members each have more than 20 years of experience in the financial compliance field.

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Assure Your Business Stays In Compliance

Do you feel overwhelmed by the constantly changing and evolving SEC compliance requirements? Navigating these regulations and staying one step ahead of the regulators can be challenging for any organization. Many businesses don’t have the resources or expertise to keep abreast of the updates and how they impact their company and industry.

Vigilant can also help your business stay in compliance with complex industry regulations through periodic policy reviews, annual report preparation, SEC test preparation and more. Our compliance officers provide your business with the sophisticated advice and skills you need to meet or exceed existing SEC standards.

Conduct A Specialized Review That Determines Your Specific Compliance Needs And Selects A Vigilant Professional To Serve As Your Chief Compliance Officer

These days, investment industry firms need a dedicated individual to chart the organization’s compliance course and ensure it’s meeting all applicable regulatory requirements. This individual C-level executive, known as a Chief Compliance Officer (CCO), must possess specialized knowledge that is often beyond the scope of other organization leaders.

Vigilant can provide an experienced Director Level professional to manage this daunting task. We’ll also review your existing compliance manual and procedures, and design a Risk Matrix and Compliance Calendar that helps your business avoid regulatory headaches. To learn more about our Outsourcing CCO Solutions click here.

Compare Your Existing Policies And Procedures To SEC And FINRA Rules

Vigilant can document compliance in areas such as portfolio management, trading, safety of assets, disclosures, brokerage and soft dollar usage, privacy and recordkeeping. As Registered Investment Adviser (“RIA”) Compliance Consultants, we can compare your current policies and procedures to ensure they’re up to date and meeting your organization’s needs. If something is amiss, we’ll make informed recommendations for upgrades. You’ll feel more confident that your business is complying with all the rules when you have Vigilant’s assistance.

Perform Required Compliance Training

On-going SEC Investment Adviser Compliance Training is essential for enhancing education and remaining in good standing with the regulatory landscape. Vigilant can perform employee training in required areas including compliance, insider trading, code of ethics and other employee-specific areas. We present the information in an easy-to-follow format that enables learners to absorb the information and apply it to their day-to-day activities.

We’ve engineered our training offerings to meet the rigorous SEC guidelines. They address new legislative initiatives and how they impact your activities. State-specific programs are available that drill down to the requirements pertaining to your state and region. We can also tailor our solutions to your organization’s unique needs.

SEC Reporting And Response

Under the provisions of the Securities Exchange Act of 1934, registered investment advisers must file periodic documents and reports with the SEC. For example, form 13F pertains to advisers with investment discretion of more than $100 million of specific equity securities. Our investment management compliance services can help you manage these reporting requirements and ensure you don’t miss a crucial filing.

Vigilant can complete and file all necessary 13F, 13G and 13H forms, in addition to SEC Rule 206 (4)-7 and ADV Amendments. We can also respond to and resolve SEC inquiries and exams, including collecting supporting documentation. If you need assistance with SEC Registration, you can request for a proposal.

Benefits Of Having RIA Compliance Consultants

Overall, Registered Investment Adviser compliance consultants will keep your company and financial advisors working efficiently. Efficiency brings more money for clients and new opportunities for your business to grow.

Since compliance regulations change every year for the SEC and states, businesses should aim to work with professionals who know exactly how to guide your investment advice with the current rules in place. The most significant advantage of working with a compliance consultant is to help keep an investment advisory firm productive and compliant.

Below are some additional perks of hiring a Registered Investment Adviser compliance consultant to keep your firms efficient:

  • Allows financial advisors to concentrate on clients and not worry about government regulations;
  • Stay continuously up-to-date with complying with the federal SEC and state laws;
  • Develops plans that address all the needs of Investment Advisers at all different stages in their success;
  • Avoids legal bills;
  • Helps the Chief Compliance Officer (CCO) with quick responses to questions or challenges with compliance;
  • Allows the Chief Compliance Officer (CCO) to become very efficient and handle compliance issues promptly;
  • Generates more money for the company’s clients;
  • Gains customized advice based on your company’s business model;
  • Benefits from numerous solutions like a mock SEC exam;
  • Operates in an environment of certainty, which only helps business;
  • Faces challenges with a team that makes in-house RIA compliance issues much easier to tackle; and
  • Improves specific parts of your company because your RIA compliance consultants possess expertise in different laws and regulations for different areas and states.

Learn More About RIA Solutions

How To Choose An RIA Compliance Consultant

To gain all the benefits possible, it’s essential to have a productive relationship with your RIA consultant. Be sure to discuss these topics while you’re on the phone with your consultant to get a better idea of how your relationship will be:

  • Communication is important. Ask the consultant company how they communicate to keep up compliance for you and your clients.
  • Ask about how the consultant company will be handling your documents. For instance, how quickly will you be receiving edits?
  • Determine what type of compliance laws you need to focus on and ask the consultant about.
  • Ask about how the consultant stays knowledgeable.
  • Have a conversation about the workflow between you and the consulting company. This way, you both get a chance to talk about the most efficient way to work together.
  • Ask yourself how involved you want to be with the consultant.
  • Ask about how the documents and work are transferred securely. It’s good to know the RIA compliance consultant company you’re choosing has your best interests in mind.
  • See if they are willing to discuss your challenges. Although they are the ones keeping up with the compliance, it’s beneficial for you and your clients to understand the why behind decisions.
  • Talk about identifying your risks
  • Explain which solutions you want to take advantage of and discover the availability of the solutions

Contact Vigilant Today

At Vigilant, 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 is well positioned to help your business create and sustain an effective compliance policy. Contact Vigilant or call 1-888-229-1855 and find out how we can help you protect your interests.