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This tool facilitates regulatory monitoring, automated policy management, and audit capabilities for fund managers, enhancing their ability to maintain compliance efficiently.
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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