Compliance
Funds are under increased scrutiny from both regulatory authorities and investors. Firms not only must adhere to stringent compliance standards, but must demonstrate to their investors that they’re doing so. Ensuring accuracy and efficiency requires institutional-quality tools to automate and systematize the entire compliance process. It starts with due diligence on potential investors to assess whether they meet all necessary qualifications. And involves maintaining a centralized log of all client-facing emails, subscription documents, offering memoranda and other important documents. Finally, it requires keeping a complete audit trail of all interactions, in the event of regulatory audits and compliance reviews.
PerTrac products for your needs:
PerTrac CMS for Fund Managers >
CMS enables funds and their service providers to organize critical prospect and investor information, audit the flow of communications and streamline compliance all along the way.
