Compliance Solutions

Reconciliation, Remittance and Reporting of Federal and State Withholding
Unclaimed Property Administration
  • SEC Mandated Searches
  • Due Diligence Mailing
  • Escheatment
  • Unresponsive Payee Notice
  • Standardized Reporting
  • External Data Feeds
  • Escheatment Consulting
  • Audit Defense
  • Deep Search - Living and Dead
  • Ongoing Inactivity Monitoring and Outreach
Fraud Prevention and Detection
AML, CIP and OFAC reporting
  • Patterned/unusual activity
  • Known offender
  • OFAC Daily/Periodic
  • Customer Identification Program (CIP)
  • Politically Exposed Persons (PIP)
  • FinCEN Section 314(a)
  • Section 311
  • Section 312
  • SAR Filing
Trade Monitoring/Surveillance (22c-2)
  • Identifies subaccount market timing activities
  • Communicates exceptions to intermediaries
  • Ensures that intermediaries are enforcing prospectus obligations at the individual shareholder level

  • Managing your intermediary interfaces, including correspondence, data requests, and data storage
  • Analyzing your sales activities against fund rules - analyzing all file types and breaking down data to the most granular level to make sure your fund rules are being uniformly applied
  • Reviewing and filtering your daily exceptions
  • Investigating potential market timing violations, handling all communication with intermediaries
  • Communicating the results of investigations to your team, so they only need to act when potential problems are identified

Blue Sky Administration
  • State Blue Sky filings (initial, amendment, renewal, fund changes)
  • Daily sales monitoring
  • Transfer agent sales feed consolidation
  • Limited Power of Attorney, used to submit notice filings, sign filings and request associated checks on behalf of funds
  • Customized Blue Sky billing cycles and automated payment
  • Secure, online client reporting
  • Exemption processing

  • Flexible technology that can be used with any transfer agency platform
  • Consultative management approach that helps minimize your state fees, including staff with state law expertise who are available to your firm for consultative discussions about exemption processing and to explain interpretations of state Blue Sky rules
  • Deep bench strength in both the technology and the process of managing Blue Sky administration
  • Strong relationships with broker/dealers solidified by our intermediary support and oversight teams
  • Client community to exchange best practices and stay abreast of ever-changing state laws
  • Secure access to ancillary services that complement your operation such as distribution intelligence, data and digital strategy consulting, 22c-2 trade monitoring, and proxy services - all in one enterprise
  • A long-term commitment to our business and our clients