Out-of-the box coverage of the US 1940 Act Investment Compliance.

We offer out-of-the box coverage of the US 1940 Act Investment Compliance monitoring, in addition to UCITS, Canadian Mutual fund rules and many more…

Funds-Axis provides fully automated investment compliance for ‘40 Act funds, with no fuss. This is kept fully up-to-date including for SEC proposals on Asset Segregation and Liquidity Monitoring.

How it Works

Simple, Quick and Low Cost:

  • Installed or Web-based (SAAS, secure FTP) – no internal technology requirements

  • Just upload holding file (simple file format) and press “GO”

  • Rules are pre-coded

  • View results, manage exceptions and run tailored reports

  • Can be available in just days

Always up to date

Funds-Axis comprehensive guide to 1940 Act Investment Rules

Derivatives and Asset Segregation

The US Securities and Exchange Commission’s (SEC) proposed Rule 18f-4 would impose new overall portfolio limits on the leverage that can be achieved through the use of derivatives and so-called “financial commitment transactions,” while also modifying the asset segregation requirements that apply.

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Liquidity Rules

On October 13, 2016, a unanimous US SEC adopted far reaching rules intended to address mutual fund liquidity risks.

Rule 22e-4 would require mutual funds to establish liquidity risk management programs.

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TO FIND OUT MORE ABOUT OUR 1940 ACT SOLUTION, BOOK A DEMO OR CONTACT US FOR MORE INFORMATION.

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