Vigil · Regulatory Superintelligence

Work-to-proof operating intelligence

Connect fiduciary work, disclosures, trading, custody, and examinations.

Investment advisers, funds, operations, and compliance teams · Portfolio manager · Investment adviser representative · Fund controller · Compliance analyst · Chief compliance officer · Operations reviewer

Role workflows2ready now

Capabilities6role adapted

Exam mappings4evidence linked

Raw content shared0constitutional boundary

Role operating queue

Work once, prove continuously

Investment Management

Fiduciary and conflict review

Map advice, fees, allocation, valuation, custody, conflicts, disclosure, and approval.

mandatetradefee calculationdisclosure

ready

Compliance program and annual review

Test policies, incidents, personal trading, vendors, marketing, books, records, and remediation.

risk assessmenttestingexceptionsannual report

available

Vigil requirement bridge

Relevant examination programs

All exams ↗

Securities and Exchange CommissionEDGAR Regulatory Filing4 exact requirements routed

Securities and Exchange CommissionInvestment Adviser Registration4 exact requirements routed

Financial Industry Regulatory Authority / SECBroker-Dealer New Member Application4 exact requirements routed

Securities and Exchange CommissionInvestment Adviser Examination6 exact requirements routed

FINRA / SECBroker-Dealer Cycle Examination6 exact requirements routed

State Securities RegulatorsState Investment Adviser Examination6 exact requirements routed

SEC / FINRA / Federal Bank Regulators applying MSRB rulesMunicipal Securities Dealer and Advisor Examination6 exact requirements routed

Shared capability fabric

One governed context across every system

Signed lineage

1Smarter entity and work graph

2Vigil requirements and examinations

3Apparently controlled documents

4Tomorrow obligations

5Orchestrator approvals

6Pareto analysis

Learning boundary

Raw work product remains workspace-private; only authorized, purpose-bound, pseudonymous reviewed outcomes may enter minimum-cohort learning.

No employee scoring · minimum cohort 5