Full Service Compliance Services to State and SEC Registered Advisers. Vigilant's highly qualified staff will serve as the in house CCO’s compliance staff, Outsourced CCO, Policy and Procedure Development, SEC/State Registration, Registered Representative Management & Continuing Education Services, Mock SEC Examinations, Compliance Training, Marketing/Advertising Compliance Review, AML/KYC/KYI Reviews, Cybersecurity Consulting, and Ad Hoc Compliance Consulting related to SEC/FINRA/CFTC/NFA, etc.
RIAs are typically either State or SEC registered. Thus, they are required to comply with either state or federal securities laws, which include, maintaining a compliance program that meets such statutes. Vigilant's offerings are designed to assist RIAs in compliance with such regulations. Vigilant can do so, either through its full-service offerings, where Vigilant performs the majority of the compliance duties (e.g., Outsourced CCO or CCO Support) or through limited support services which are designed to supplement a RIAs internal compliance staff. With the increased complexity and volume of regulations, currently either in the proposal stage or newly adopted, many RIAs do not have the resources to maintain a sufficient compliance program. As a result, RIAs can benefit from Vigilant's high quality and cost-effective service offerings.