Fund / Distribution Solutions

Fund/Distribution Solutions

With the right fund distribution team, your organization can grow stronger and increase your efficiency. We work with some of the country’s largest funds to keep them within compliance and nurture the trust clients show in their organization. You can benefit from our guidance in areas where you must protect your clients’ interests and remain within regulatory compliance. Let us help you gain greater trust while following the right regulations.

We offer a range of solutions designed to benefit you and safeguard your clients. See how we can help you seek new opportunities and grow your business into the future.

Principal Underwriting

We offer principal underwriting and statutory distribution solutions in addition to serving as a distributor for private funds or placement agent for private placement activities. You can leverage our long-standing relationships within the industry to expand your distribution network. We monitor your selling partners and can negotiate seller agreements. We also employ legal and financial professionals who can assist in a multilevel review and guide you toward the best approach in personalizing your deals. Our solutions include:

Principal Underwriting

  • Acting as a mutual fund sponsor or wholesaler.
  • Maintaining broker-dealer agreements.
  • Supporting your networking agreements.
  • Using the funds’ authorized distribution plan to make Rule 12b-1 load payments.
  • Registering and renewing state filings.

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Registered Representative

Vigilant offers support for private funds, mutual funds and other investment vehicles through our registered representative solutions. We can even take care of regulatory and compliance needs, such as:

  • Processing and maintaining Financial Industry Regulatory Authority (“FINRA”) tests, renewals and registrations.
  • Facilitating the FINRA Continuing Education Program.
  • Initiating a registered representative code of ethics.
  • Maintaining your registered representative licenses, including Series 6, 7, 22, 24, 26, 63, 79 and 82.

The broker-dealer profession is highly regulated. Your registered representatives must adhere to guidelines for what can and can’t be said in client communications while meeting ongoing education requirements. You need to know your associates comply within their state, too, as rules vary depending on where your firm is based. Vigilant provides registered representative solutions in many contexts, and we can help you improve efficiency.

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Advertising Review

Your marketing campaigns must comply with regulations laid out by FINRA and the U.S. Securities and Exchange Commission (“SEC”). Using Red Oak Compliance Solutions, we can assist you with a range of advertising review compliance solutions. Our options include:

  • Developing red-flagged keywords to help you upgrade the language in your marketing materials.
  • Coordinating communications between us and your distributor and clients.
  • Training your marketing team to recognize potential compliance issues as they create new materials.

As your firm grows and you try to keep up with demand, it can feel challenging to maintain your compliance approval. We can move your firm’s marketing approval process forward.

Active Distribution

We take a planning based strategic approach to Active Distribution. By first identifying your core investment competencies and working together to establish target distribution partners. Our goal is to align our resources with your Firm goals.

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Get Started With Vigilant Today

Staying in compliance protects your company and clients. We can help you address issues you may not know existed while preparing you for future growth. Taking another look at your principal underwriting, registered representative solutions and advertising review can help you move forward. Contact us today to request a customized proposal.