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Out-of-the box coverage of the US 1940 Act
With our US 1940 Act Investment Compliance Monitoring Software we offer out-of-the box coverage of the US 1940 Act regulation, in addition to UCITS, Canadian Mutual fund rules and 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
Upload
Upload holding transaction files using a uniform upload process.
Process
Holdings get verified against 1940 Act Rules
Submit
View results on dashboard. Export results. Email alerts.
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:
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.
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.
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:
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.
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.
ATLAS Funds Training
Learn more about Investment Compliance Rules with our Online Fund Training portal.
Investment Compliance Insights
Book Your Demo Now
Ready to experience how our multi-modular system can transform your approach to investment compliance, regulatory reporting, risk monitoring, and investor document production? Book your demo now by selecting a date and time that works best for you from the calendar below.
Once you’ve completed the booking, our team will promptly email you to confirm the details of your demo session. Our demos typically last around an hour, during which we’ll showcase the power of our platform firsthand!