Transform a Necessary Function into a Strategic Advantage.

VigilantCS offers the basis for a common industry-wide platform driving down compliance costs, developing industry best practices and benchmarks.

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Boutique

Compliance is a particular challenge for smaller firms, such as boutique dealers and specialized portfolio managers. The VigilantCS platform enables you to focus on your core business by providing your Chief Compliance Officer or external consultants an efficient solution for the automation of routine tasks.

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Independent Wealth Manager

The competitive landscape and regulatory changes have especially challenged mid-sized wealth managers as operating costs have increased.

While the twin benefits of reducing compliance costs by between 20% to 50% and increasing adherence to regulations may seem like wishful thinking, VigilantCS delivers on both counts with the power of automation.

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Bank/Insurance Wealth Manager

Canadian and international regulators are focused on sales practices and conduct risk. In the U.K., Financial Conduct Authority (FCA) oversight is growing, and the Senior Managers and Certification Regime (SM&CR) applies in December 2019. In the U.S., the SEC has adopted a Regulatory Best Interest (Reg BI): firms must comply by end of June 2020. VigilantCS equips firms to track and analyze staff conduct to pinpoint opportunities for improvement and preventive action.

VigilantCS provides benefits to all key constituencies involved in meeting staff regulatory requirements: individual staff members, officers and directors.

Staff DIY

VigilantCS makes it easy for employees to stay on top of regulatory disclosures, providing peace of mind for them and their firm. Our detailed disclosure module includes more than 20 fields required by regulators and provides staff the opportunity and ease of updating information through a user-friendly interface. Real-time staff updates make the yearly attestation process more robust and easily managed by compliance.

Support for Outsourcing

Many firms seek to outsource some or all of their compliance efforts in order to reduce costs and stay on top of best practices. VigilantCS accommodates firms using an outsourced or in-house model and everything in between.

A Centralized Hub

With VigilantCS, staff-related compliance matters are in one place, improving individual accountability and enhancing compliance efficiency. No more hopping between applications for regulatory disclosures, continuing education, personal trading, attestations, social media declarations, and other disclosures. VigilantCS brings it all together in a centralized hub.

New Requirements, No Problem

With staff accustomed to using VigilantCS as their central hub for all things compliance, they will learn of any new requirements quickly and efficiently, enabling firms to implement changes expeditiously.

Questions about getting started? Drop us a line to find out more!