Investment Adviser (RIA)
Investment Adviser Compliance Services
When your firm needs comprehensive Compliance Services, turn to Vigilant. 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.
The professionals at Vigilant are premier Investment Adviser Consultants in the industry, and we provide best in class and innovative solutions to the most challenging and unique compliance problems.
Working with a wide variety of Investment Advisers such as Private Funds (Private Equity, Hedge Funds, Real Estate Funds, etc.), Registered Investment Companies (ETFs, Mutual Funds, BDCs) and Wealth Managers, Vigilant utilizes a 5 Step Process to manage effective Compliance Programs.
- Full Service Compliance Support to in-house Chief Compliance Officer (“CCO”)
- Utilize an expert staff of compliance experts without building a cost center
- Vigilant under the direction of the in-house CCO will perform all SEC compliance related obligations
- Including but not limited to, Annual Rule 206(4)-7 Report, Risk Assessment Matrix, Compliance Calendar Management, Key Vendor Due Diligence, Regulatory Filings, Code of Ethics & Personal Trading Management, Compliance Training, Cybersecurity Assistance, etc.
- Interim Outsourced CCO
- Flexible availability of expertise over a short to interim time period.
- Outsourced CCO
- Provides need for firms with limited resources and/or in-house expertise.
- Specialized Compliance Consulting Services is another service model of Vigilant that is tailored to support firms on their targeted needs throughout their Compliance Program.
- Industry Best Practice Reviews of Private Equity Compliance Programs
- Mock SEC Examinations
- Mock SEC Interviews
- Tailored SEC Document Request Lists
- Formal Written Reports Evidencing such Reviews and Recommendations
- Web CRD, IARD, and Edgar Management
- SEC Registration & Exempt Reporting Adviser Registration (ERA)
- Form ADV Annual & Updating Amendments
- Form PF Filings
- Section 13 Filings (e.g., 13F, 13H, 13D, 13G), as applicable
- Select Additional Filings
- Assistance and/or Management of SEC Examinations
- Supporting Documentation Compilation
- Supporting Documentation Review
- Drafting and Review of Submittal Letter
- Interview preparation
- Participation in Regulatory Examination Calls/Meetings
- Creation of Day 1 SEC Presentation
- Expert Consultant in SEC Enforcement Actions
- Security Breach Response Assistance
- In-person & Select Electronic Training
- Compliance Training
- Code of Ethics, Conflicts of Interest and Personal Trading Training
- Insider Trading and MNPI Training
- Online Cybersecurity Training Platform
- Automated Phishing Tests
- Industry “Hot Topic” Trainings (e.g., Expense & Investment Allocation, Relevant SEC Enforcement Actions, etc.)
When you partner with Vigilant, you will benefit from our sophisticated Compliance Solutions 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 Investment Adviser (RIA) needs compliance policies and procedures that complement the culture and addresses required regulations.
This tailored approach leads top investment firms from around the globe to Vigilant, where our Outsourced Compliance Solutions protect your reputation and regulatory track record.
Key Compliance Considerations for Outsourced Compliance
When you partner with Vigilant, our experienced RIA Compliance Consultants can provide:
- SEC and State Registration Services, including the development of policies and procedures.
- Gap Analysis of current Policies, Procedures, and Practices.
- On-Going Compliance Services to support your firm in getting its Compliance Program up and running, and properly maintained and developed, especially as continuous new rules and regulations release.
In building a long term partnership and relationship with our clients, we will 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 Team of Managing Directors and Directors each have approximately 20 plus years of experience in the investment management and financial services compliance field.
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 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 compliance 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 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.
Contact Vigilant Today
At Vigilant, we have the knowledge and skills you need to build a stronger future.
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 Investment Adviser Compliance Program.
Contact Vigilant or call 1-888-229-1855 and find out how we can help you protect your interests.
