Rule 22c-2 Shareholder Compliance

Rule 22c-2 Shareholder Compliance

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:

  • Capture, analyze and report detailed information from omnibus accounts
  • Identify and react to potential market timing situations
  • Monitor and analyze short term trading patterns by product to determine need for redemption fees
  • Monitor internal trading activities by employees
  • Manage intermediary relationships
  • Maintain all shareholder compliance data in one central repository
  • Access auditable list of compliance results

Shareholder Compliance automates the compliance management process by including:

  • Definition and maintenance of sales compliance results, rules and rule sets as governed by your firm's procedures
  • Compliance monitoring by rules and rule sets
  • Assignment of salespeople or clients to one or more compliance rule sets
  • Security that limits who can create and maintain compliance rules and rule sets

Put Our Compliance Experts to Work for You

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.

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