’40 Act Mutual Fund Compliance

The portfolio compliance module automatically monitors and alerts if the portfolio and its constitutive holdings 1) fall outside of regulatory guidelines such as diversification and concentrations tests, IRS, ERISA and SEC tests, 2) fall outside of the investment policy statement, the prospectus or SAI of the fund(s), or combination, and 3) fall outside of the investment process and philosophy of the professional investment manager.

This module includes a daily pass/fail report, case management, a rules library, and on demand reporting, all among other features.