Achieving regulatory compliance doesn't have to be an endless ordeal. In fact, it can bring significant benefits to businesses. Regulatory compliance means following rules, regulations, and industry standards, and it can help make your company successful in many ways. All businesses must prioritize regulatory compliance, especially in countries with strong economies. Compliance criteria may differ depending on the industry and country.

Regulatory compliance holds a crucial role in industries that prioritize data protection, cybersecurity, and consumer privacy. Industries like finance and healthcare, as well as those with strict rules, rely on following regulations to run their businesses smoothly and legally. After meeting regulatory requirements, a company gets certified by a respected agency, showing its commitment to ethics, reliability, and integrity. This fosters stakeholder trust and solidifies its competitive stance.

With over 18 years of experience and a blend of legal, financial, and regulatory compliance proficiency, Vigilant has consistently excelled as a premier regulatory compliance consulting company.

Meet Vigilant: The Investment Management Solutions Firm

The founding date of Vigilant was August 15, 2004. Vigilant is a firm that specializes in investment management solutions and meets the regulatory needs of various investment management clients. We are not merely a compliance firm. Vigilant provides clients with reliable end-to-end solutions. Vigilant specializes in underwriting, distribution, cybersecurity, and compliance solutions for various financial services such as mutual funds, exchange-traded funds, investment advisers, and broker dealers.

Vigilant has been a leading regulatory compliance consulting company for 18 years. They specialize in regulatory compliance, legal, and financial expertise.

Currently, Vigilant provides CCO Support Services and acts as CCO for multi-billion dollar advisers and funds. Their clients include broker-dealers, business development companies, federally registered investment advisers, registered investment companies, and private equity advisers.

Vigilant has extensive experience in a variety of investment products, including ETFs, mutual funds, equity products of different sizes (large, mid, small, and mid-sized), long-short funds, research funds, value, growth, and core products, international funds, bond funds, REITs, and fixed income products.

Leading fund accountants, custodians, transfer agents, distributors, and auditors in the industry have collaborated with our CCOs. They have a lot of experience using different trading and investment management tools. The company has worked with many money managers.

Multi-Disciplined

Experienced professionals with backgrounds in finance and law are brought together by Vigilant, an investment management solutions firm. With their experience, the Vigilant Team can create a program that best suits your needs while staying within your budget.

Vigilant has a very skilled team with market knowledge and experience in investment management. Vigilant can help you move your company from its current state to the one you see for it in the future.

Compliance Assurance

With Vigilant's streamlined Compliance AssuranceSM solution, your stakeholders can have peace of mind knowing a reliable and unbiased company is safeguarding their interests and ensuring regulatory compliance.

Time Tested Regulatory and Compliance Services

By tailoring their services to your specific needs, Vigilant can ensure that your company stays ahead of industry advancements. Make their tried-and-true techniques work for you.

An investment in compliance should benefit your company, just like any other investment does. You may make efficient use of your resources by assigning Vigilant to be your Compliance Team. Without adding to your costs and hurting your profitability, Vigilant offers your compliance solution.

Compliance Solutions

Vigilant provides compliance solutions to safeguard your business while assisting Broker Dealers and Registered Investment Advisers ("RIAs") in adhering to rules and regulations. With assets under management ("AUM") ranging from zero to over $30 billion, our clients come from all around the world. Our team includes experienced business leaders and professionals who have previously been Chief Compliance Officers or possess extensive compliance knowledge. Vigilant provides best-in-class, high-touch, tailored CCO Services while adhering to best practices to support the success of your company.

Vigilant has answers for all of your compliance problems. The company may provide distributor solutions in addition to outsourced CCO services. Our goal is to enhance your business going forward by customizing our solutions to your specific demands.

Meet the President and the CEO

Salvatore Faia, JD, CPA, CFE is the President and Chief Executive Officer of Vigilant.

“Every CCO at Vigilant has extensive experience in the Investment Industry ― and each exceeds SEC standards for Knowledge, Competency, and Compliance abilities. Professional excellence and service are our hallmarks.”