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Facilitates seamless regulatory reporting with built-in collaboration features, real-time data inputs, and template libraries for various regulatory formats.
Software that automates the preparation and submission of required regulatory reports such as Form PF, Form ADV, AIFMD reporting, and transaction reporting under various regulatory regimes.
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Multi-Source Data Import
Capability to ingest data from various formats, protocols, and platforms (e.g., databases, APIs, flat files, custodians).
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Real-Time Data Sync
Synchronization of data feeds at or near real-time for up-to-date reporting.
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Data Validation Rules
Built-in checks and logic to ensure data quality and flag inconsistencies.
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Data Enrichment Capabilities
Ability to supplement imported data with reference, market, or external datasets.
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Automated Data Mapping
Tools to facilitate mapping of disparate data sources to unified reporting structures.
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Data Cleansing Functionality
Automated routines to correct errors and fill missing values in data sets.
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Support for Unstructured Data
Ability to process documents, emails, or other non-tabular data sources.
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Batch Data Processing Speed
Time taken to process and transform datasets for reporting.
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Data Lineage Tracking
Ability to trace data origins and transformation history for audit purposes.
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Manual Data Entry Support
Functionality for entering data manually in the absence of automated feed.
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Multi-Jurisdiction Support
Ability to handle regulatory rules for multiple countries and regions.
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Regulation Specific Modules
Pre-built modules/templates for major regulatory standards (e.g., AIFMD, UCITS, MiFID II, FATCA, EMIR, SEC, CFTC).
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Automated Rule Updates
System updates regulatory rules automatically as new laws come into effect.
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Custom Rule Creation
Admins can define custom compliance rules tailored to organizational policies.
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Version Control on Regulation Logic
Maintains historical versions of rule logic to support retrospective reporting.
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Audit Trail on Rule Changes
Logs and tracks all changes made to compliance and reporting rules.
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Automated Report Generation
Scheduled creation of required regulatory filings.
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Custom Report Designer
Allows creation of bespoke reports in addition to standard templates.
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Multi-Format Export
Export reports in all required electronic and paper formats (XBRL, XML, CSV, PDF, Excel, etc.).
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Error and Exception Highlighting
Automatically identifies and flags potential errors or omissions in draft reports.
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Direct e-Filing Integration
Connects directly to regulators’ portals/APIs for automated submission.
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Filing Status Tracking
Monitors the progress, success, or failure of each report submission.
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Ad Hoc Reporting
Enables rapid, one-off report production for non-routine compliance queries.
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Historical Filing Storage
Stores previously submitted reports for comparison and retrieval.
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Reporting Frequency Options
Supports daily, monthly, quarterly, annual or ad-hoc schedules.
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Role-Based Task Assignment
Allocates tasks to individuals or teams based on permissions and expertise.
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Automated Alerts & Reminders
Sends notifications for deadlines, approvals, and exception handling.
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Approval Workflow Customization
Configurable multi-level review and sign-off processes.
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Escalation Management
Automatically escalates overdue tasks or exceptions to management.
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Task Status Dashboard
Visualizes progress of all workflow tasks in real-time.
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SLA Monitoring
Monitors workflow steps against Service Level Agreements.
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Automated Scheduling
Allows pre-scheduling of recurring tasks and report runs.
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Exception Handling Rules
Predefined responses to common exceptions or workflow bottlenecks.
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Role-Based Access Control (RBAC)
Access permissions can be defined per user or group.
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Multi-Factor Authentication (MFA)
Supports two/multi-factor authentication for user login.
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Single Sign-On (SSO) Integration
Allows users to log in with corporate credentials.
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Audit Logging
Tracks all user actions for monitoring and compliance.
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Encryption at Rest and in Transit
Data is encrypted both when stored and when sent between systems.
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Granular Data Permissions
Fine-grained control over which data a user can view or edit.
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Time-Based Access Control
Ability to restrict system access to specific hours or dates.
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Full Data Audit Trails
Tracks every change to relevant data, reports, and workflows.
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Audit Log Export
Ability to export audit logs for regulator or auditor review.
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Immutable Records
Stores all changes in a tamper-evident manner.
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Report Reconciliation Logs
Logs comparisons between system data and filed reports.
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User Action History
View actions performed by each user on specific records or reports.
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Change Reason Capture
Requires users to provide rationale for material changes.
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Exception Trend Analysis
Tracks patterns in reporting errors or regulatory breaches over time.
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Compliance Dashboard
Visual interface summarizing key compliance risks and activities.
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Data Quality Metrics
Monitors consistency, completeness, and accuracy of reporting data.
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Historical Comparison Reports
Allows period-to-period comparison to identify discrepancies or risks.
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Outlier Detection
Automatically flags results that deviate from norms.
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Workflow Efficiency Metrics
Measures task throughput and identifies bottlenecks.
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Custom Workflow Builder
Design and deploy custom task and approval steps.
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Configurable Data Fields
Add, remove, or modify data fields for changing needs.
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White-Labelling Options
Apply custom branding to user interfaces and reports.
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User Interface Personalization
Enables individual users to customize their dashboards.
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Rule Engine for Custom Logic
Allows non-technical users to define new rules and triggers.
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Open REST/SOAP APIs
Enables external systems to connect and automate data exchanges.
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Pre-Built Integrations
Available plugins for common fund management and accounting platforms.
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Webhook/Event Notification Support
Outbound triggers for events like report completion or data changes.
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API Call Throughput
Maximum number of API requests supported per second.
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Bulk Data Upload & Download
Ability to move large data sets efficiently.
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Horizontal/Vertical Scaling
System can scale out by adding resources or nodes.
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Concurrent User Limit
Maximum number of users able to use the system simultaneously.
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High Availability/Uptime SLA
Service level guarantee for system availability.
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Peak Load Processing Speed
Performance under heavy data or usage peaks.
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24/7 Technical Support
Around-the-clock assistance for critical issues.
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Comprehensive User Documentation
Detailed manuals and online help resources.
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Integration Support Services
Assistance for connecting the product with other systems.
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Dedicated Account Manager
A single point of contact for complex support needs.
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Onboarding & Training Packages
Structured user education for rollout and adoption.
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Compliance Alert Service
Proactive notifications of regulatory changes impacting reporting.
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Solutions for managing SEC filings, KYC/AML requirements, GDPR compliance, and other regulatory obligations specific to investment firms.
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Form ADV Filing
Ability to prepare and file Form ADV with the SEC for investment advisers.
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Form PF Support
Capability to complete and submit Form PF for private fund advisers.
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Form D Filing
Support for filing Form D notices for exempt offerings.
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Blue Sky Filing
Functionality to handle state-level securities filings.
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AIFMD Reporting
Support for Alternative Investment Fund Managers Directive reporting for EU compliance.
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Regulatory Filing Frequency
Number of regulatory filing types supported by the system.
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Cross-Border Reporting
Ability to handle reporting requirements across multiple jurisdictions.
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Report Template Library
Availability of pre-built templates for common regulatory reports.
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Automatic Deadline Tracking
System monitors and alerts users to upcoming regulatory filing deadlines.
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Historical Filing Repository
Storage capacity for past regulatory filings for reference and audit purposes.
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Filing Error Validation
Pre-submission checks to identify potential errors in regulatory filings.
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Regulatory Update Frequency
How often the system updates to reflect regulatory changes.
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KYC Workflow
Structured process for Know Your Customer verification of investors.
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AML Screening
Anti-Money Laundering checks against watchlists and sanctions databases.
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Accredited Investor Verification
Tools to verify and document investor accreditation status.
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Investor Risk Scoring
System for assigning risk levels to investors based on due diligence findings.
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Beneficial Ownership Tracking
Ability to identify and document ultimate beneficial owners of entity investors.
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FATCA/CRS Compliance
Support for Foreign Account Tax Compliance Act and Common Reporting Standard requirements.
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Digital ID Verification
Electronic verification of identity documents and information.
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Document Collection Portal
Secure interface for investors to submit required documentation.
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Verification Processing Time
Average time to complete verification processes for new investors.
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Periodic Re-verification
Automated process to prompt and track ongoing investor re-verification requirements.
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Watchlist Database Coverage
Number of sanctions and PEP lists covered in screening processes.
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Enhanced Due Diligence Workflow
Specialized process for high-risk investors requiring additional scrutiny.
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Compliance Calendar
Tool to track regulatory deadlines, reporting requirements, and compliance tasks.
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Policy Management
Repository for compliance policies with version control and distribution features.
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Code of Ethics Management
System to track and manage employee code of ethics compliance, including personal trading.
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Regulatory Exam Support
Tools to prepare for and respond to regulatory examinations.
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Compliance Testing
Framework for conducting periodic tests of compliance controls.
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Risk Assessment Tools
Features to identify, assess, and document compliance risks.
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Conflicts of Interest Management
System to identify, document, and manage potential conflicts of interest.
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Expert Network Tracking
Tools to monitor and document expert network consultations for insider trading prevention.
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Political Contribution Tracking
System to monitor and approve employee political contributions for pay-to-play compliance.
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Regulatory Alert System
Notification system for relevant regulatory changes and updates.
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Compliance Training Management
Platform for delivering and tracking completion of compliance training.
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Policy Attestation Rate
Percentage of staff who have completed required policy attestations on time.
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Regulatory Update Coverage
Number of regulatory jurisdictions monitored for compliance updates.
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Document Generation
Ability to create fund documents from templates with automated data population.
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Subscription Document Processing
System for distributing, collecting, and processing investor subscription agreements.
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Electronic Signature Integration
Support for digital signature collection on fund documents.
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Side Letter Management
Tools to track and manage individual investor side letter terms and obligations.
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Document Version Control
System to maintain document versions and track changes over time.
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Investor Portal
Secure platform for investors to access fund documents and information.
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Distribution Waterfall Documentation
Tools to document and explain distribution calculations and waterfalls.
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Limited Partner Advisory Committee (LPAC) Management
Features for organizing LPAC meetings, voting, and documentation.
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Fund Marketing Material Review
Workflow for compliance review and approval of marketing materials.
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Document Storage Capacity
Amount of document storage provided by the system.
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Document Template Library Size
Number of pre-built templates available for fund documentation.
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Multi-language Support
Number of languages supported for document generation.
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Document Processing Time
Average time to process subscription documents from receipt to acceptance.
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Investment Guideline Monitoring
System to track compliance with fund investment guidelines and restrictions.
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Pre-trade Compliance Checks
Ability to screen potential investments for compliance issues before execution.
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Post-trade Compliance Analysis
Tools to monitor portfolio compliance after trades are executed.
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Concentration Limit Monitoring
Tracking of investment concentration against defined thresholds.
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Prohibited Transaction Screening
Checks to prevent investments in restricted companies or industries.
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ESG Screening
Tools to assess investments against environmental, social, and governance criteria.
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LP Investment Restriction Tracking
System to monitor compliance with investor-specific investment restrictions.
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Regulatory Investment Limits
Monitoring of compliance with regulatory investment thresholds and reporting requirements.
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Cross-Fund Investment Tracking
Tools to manage compliance for investments across multiple related funds.
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Rule Processing Speed
Time taken to evaluate an investment against all applicable compliance rules.
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Compliance Rule Library
Number of pre-built compliance rules available in the system.
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Custom Rule Creation
Ability to create custom compliance rules specific to fund requirements.
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Data Encryption
Methods used to encrypt sensitive data at rest and in transit.
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Access Control Management
System for defining and enforcing user access privileges to sensitive information.
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Data Retention Policies
Tools to implement and enforce data retention and destruction schedules.
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GDPR Compliance
Features supporting compliance with General Data Protection Regulation requirements.
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CCPA Compliance
Features supporting compliance with California Consumer Privacy Act requirements.
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Audit Trail Logging
Comprehensive tracking of user activities and system changes.
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Data Breach Response
Protocols and tools for responding to potential data security incidents.
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Information Barriers
Systems to create and enforce ethical walls between different investment teams.
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Two-Factor Authentication
Enhanced security requiring two methods of identity verification.
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Data Classification System
Framework for categorizing data based on sensitivity and regulatory requirements.
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Security Certification Level
Industry security certifications achieved (e.g., SOC 2, ISO 27001).
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Backup Frequency
How often system data is backed up for disaster recovery purposes.
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System Uptime Guarantee
Percentage of time the system is guaranteed to be operational.
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Security Testing Frequency
How often security penetration tests are conducted on the system.
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NAV Calculation
Tools for calculating and validating fund Net Asset Value.
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Capital Account Statements
Generation of investor capital account statements.
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Schedule K-1 Preparation
Support for preparing and distributing Schedule K-1 tax documents to investors.
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FATCA/CRS Reporting
Tools for tax information reporting under FATCA and Common Reporting Standard.
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Investor Tax Document Portal
Secure platform for investors to access tax documents.
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Carried Interest Calculations
System for calculating and tracking carried interest allocations.
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Management Fee Compliance
Tools to ensure management fee calculations comply with fund documents.
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GAAP/IFRS Compliance
Support for preparing financial statements in accordance with accounting standards.
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Expense Allocation Tracking
System for allocating expenses across funds and tracking against budgets.
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Audit Support Package
Tools to generate required documentation for annual financial audits.
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Waterfall Calculation Complexity
Level of complexity supported in distribution waterfall calculations.
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Financial Statement Generation Time
Time required to generate comprehensive financial statements.
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Tax Jurisdiction Coverage
Number of tax jurisdictions supported for reporting purposes.
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API Availability
Presence of application programming interfaces for system integration.
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Fund Administrator Integration
Pre-built connections to common fund administration platforms.
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Banking System Integration
Ability to connect with banking platforms for capital movements.
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CRM System Integration
Connectivity with customer relationship management systems.
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Portfolio Management System Integration
Links to investment portfolio tracking and management systems.
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Document Management System Integration
Connections to enterprise document management systems.
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Email System Integration
Ability to connect with email platforms for notifications and communications.
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Data Warehouse Integration
Capability to feed data to enterprise data warehouses or analytics platforms.
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Electronic Signature Platform Integration
Connections to digital signature services.
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Regulatory Database Integration
Links to regulatory information sources and filing systems.
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Number of Pre-built Integrations
Total number of ready-to-use integrations available.
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API Response Time
Average response time for API calls.
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Data Synchronization Frequency
How often data is synchronized between integrated systems.
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Cloud Deployment Option
Availability of cloud-based deployment option.
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On-Premises Deployment Option
Availability of on-site deployment option.
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Mobile Accessibility
Ability to access and use the system via mobile devices.
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User Role Customization
Ability to define custom user roles with specific permissions.
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Workflow Customization
Capability to create custom approval and review processes.
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Multi-Fund Support
Ability to manage multiple funds within a single instance.
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White Labeling Options
Capability to customize the system appearance with firm branding.
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Training Resources
Availability of user training materials and programs.
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Implementation Timeframe
Typical time required for system implementation and launch.
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Support Response Time
Average time for customer support to respond to issues.
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User Interface Customization
Degree to which user interfaces can be customized for specific needs.
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Concurrent User Capacity
Maximum number of users who can use the system simultaneously.
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Reporting Customization
Ability to create and modify custom reports.
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Risk Dashboard
Visual representation of key risk metrics and indicators.
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Compliance Violation Alerts
Real-time notification system for compliance breaches.
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Historical Trend Analysis
Tools to analyze compliance data over time to identify patterns.
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Regulatory Exam Analytics
Analysis of past regulatory examination findings and outcomes.
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Peer Benchmarking
Comparison of compliance program effectiveness against industry peers.
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Investor Risk Analytics
Analysis of investor-related compliance risks and concerns.
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Portfolio Compliance Analytics
Analysis of investment compliance patterns and trends.
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Vendor Risk Management
Tools to assess and monitor compliance risks from service providers.
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Operational Risk Monitoring
Tracking of operational process compliance and failures.
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Personal Trading Analytics
Analysis of employee trading patterns for potential conflicts.
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Report Generation Speed
Time required to generate complex analytical reports.
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Data Visualization Options
Number of different visualization types available for analytics.
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Maximum Data History
Length of historical data maintained for trend analysis.
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