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An intuitive platform that automates compliance reporting, risk assessments, and audit trails, making it easier for fund managers to stay updated with regulatory changes and minimize compliance risks.
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.
No information available
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Blue Sky Filing
Functionality to handle state-level securities filings.
No information available
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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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