Compliance

The Compliance add-in component ensures that your team is applying the latest corporate governance standards to your firm’s operations.

During hectic fund raising efforts, this valuable add-in component ensures your team is engaging only qualified LPs. It makes use of your attorney’s own certification checklist and tracks issued PPMs. Behind the scenes, its built-in audit trail automatically records all changes made to your data.

When you’re selling investments, you simply follow its exit checklist to ensure compliance with the latest securities regulations. And when preparing for your audit, you can generate Portfolio Activity reports that narrate changes to your holdings during the last year.

At the Core

• Prospective LP Qualifications. Captures a complete investor profile along with other typical attributes (e.g., ERISA, non-ERISA).
• PPM Recipients. Tracks and reports on issued PPMs.
• Audit Trail. Records which end users have made changes to your data.

Taking You to the Next Level

• Prospective LP Qualification Checklist. Integrates your attorney’s certification checklist into your fund raising process. You can also define and capture your own criteria and related documents.
• Exit Compliance Checklist. Provides your team with the steps needed to comply with the latest securities regulations and allows you to add to this checklist as you see fit.
• Portfolio Activity Reports. Produces a roadmap for your audit. Shows holdings at the beginning of the year, investment activity during the year, and year-end holdings.