ComplianceTrak offers compliance management tools to assist
you in developing and maintaining a comprehensive compliance infrastructure and
to meet regulatory requirements. This includes functionality specially designed for hedge funds and private
equity funds such as 3(c)(1) / 3(c)(7) counts, ERISA percentages, and affiliated investor tracking.
Additionally AML watch-lists run investors through 35 watch-lists.
|
Compliance ELF gives you one of a kind flexibility to create an employee
compliance portal to handle a wide range of employee compliance issues, including personal trading,
to ensure compliance with Advisers Act Rule 204A-1 and internal procedures.
|