Monitor shareholder trading activity across all funds and channels
Access Data’s Shareholder Compliance, one of the most actively used solutions in the market today, is a comprehensive offering that enables Operations and Compliance managers to effectively perform the monitoring and analysis required to help comply with SEC Rule 22c-2.
Shareholder Compliance aggregates and integrates omnibus sub-account activity with transfer agency information from all sources, across all channels. Users can establish a unique set of flexible analysis tools to monitor and analyze shareholder and fund trading patterns.
Shareholder Compliance enables users to:
Shareholder Compliance automates the compliance management process by including:
The experienced Insight Services group at Access Data enables mutual fund companies to outsource operational and analytical activities that support Rule 22c-2 compliance monitoring and reporting. Working with your operational compliance team, Access Data business experts will provide a “best practices” approach to the construction of your Rule 22c-2 shareholder compliance rules, workflows, and analytics as well as the interpretation of your reporting. Access Data will also maintain and monitor a set of control reports used to provide oversight on all Rule 22c-2 related data requests, responses, processing, analysis, and enforcement activity performed by the Insight Services group up to and including restriction notification and confirmation.
Sponsored by Broadridge, NICSA has an extensive program of timely, interactive webinars.