ComplianceTrak's adviser-level features were designed to support your CCO with all on-going compliance responsibilities. Managers that are not registered with the SEC can use the adviser-level features to build and monitor a best-practices infrastructure that mirrors SEC requirements.

The ComplianceTrak adviser-level features include:

Interactive Compliance Calendar

ComplianceTrak will create a customized compliance calendar that will serve as the foundation of your compliance infrastructure. This functionality allows you to:

• Build out a compliance calendar using recommended compliance tasks as well as your own custom items
• Learn the regulatory background of the recommended tasks by reading the detailed Task Information Section
• Setup automatic email reminders for compliance obligations
• Mark compliance tasks as "complete," add notes and upload files, seamlessly documenting and archiving your compliance process
• Easily view calendar activity
• Seamlessly export the calendar into Outlook, Excel and/or PDF formats
• View all uploaded documents in the "calendar library" with the ability to download them into a zip file (an extremely helpful tool when conducting your annual compliance review and/or preparing for an audit)

Many of the major compliance obligations on your calendar will be automatically linked to the reporting functionality of ComplianceTrak.

Compliance E.L.F. Portal (Employee Level Filing)

The innovative Employee Level Filing (E.L.F.) Portal is a powerful tool that allows you to easily build a custom "intranet" to address your employees' compliance needs such as: personal trading, gift reporting, compliance manual / Code of Ethics attestations, outside activity reporting and more

The E.L.F. Administration feature contains a robust set of tools to help manage the E.L.F. Portal and serves as a repository for all information submitted by employees. The E.L.F. Administration feature allows the CCO to:

• Track and monitor all employee filings
• Perform and document a compliance review of filings, recording exceptions and violations
• Send email reminders to employees regarding filing obligations
• Automatically notify employees via email when a filing is reviewed or a request is approved or denied
• Customize the E.L.F. Portal with your policies and procedures
• Alter the look of the E.L.F. Portal to match your firms colors and logo

The E.L.F. Portal allows you to create user accounts for employees so that they can:

• Submit personal trading pre-clearance requests
• Submit personal securities transaction and holding reports
• Submit gift notifications/outside activity statements
• Update brokerage account information
• Complete a "Best Execution" Report Card
• View the latest compliance manual, Form ADV and other compliance materials and complete an attestation (if applicable)

ComplianceTrak's powerful reporting engine lets you generate Review Reports detailing all of the information that has been submitted through the Portal. Such reports can be utilized to report up to management and demonstrate a "culture of compliance" to investors and regulatory authorities.

Other Adviser-Level Reporting Platforms include:

• Conflicts of Interest Review Platform
• Record-keeping Checklist
• Audit-preparation Checklists
• Soft Dollars Review Platform
• And more

Other Tools

ComplianceTrak Subscribers also receive a copy of the HedgeOp Compliance Guide, and receive HedgeOp's Quarterly Newsletter highlighting major regulatory changes and updates.

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