Governance Accelerator for Mutual Funds, uses our industry leading Enterprise Compliance Management System GA Generic to provide the fastest and easiest way to automate compliance activities for mutual funds.

Partnering with Mutual Fund experts Foreside LLC, our product has been specifically pre-loaded with quality and mutual fund specific data, that can be customized, in such that mutual funds can be brought up to production in days with:

• Mutual Fund specific Controls
  300 hundred mutual fund-specific controls are provided (200 in the light version.) The controls are partitioned among all the relevant business units or subprocesses in the mutual fund such as Fund Accounting, CCO Office, Transfer Agent, Underwriter, Fund Management, etc.; and are linked to mutual-fund specific regulatory references, risks, objectives and policies and procedures. Upon assignment of a control, control activation schedules and notifies a user he/she is responsible to upload the corresponding report on a periodic schedule (weekly, monthly, quarterly, etc.). Reminders keep coming until the user completes the report. This coordination is done by the application saving time and resources to the organization
  
  
• Mutual Fund specific Policies and Procedures
  Thousands of pages of ready-to-go policies and procedures that often just get minor tweaks.
  
  
• Compliance Objectives And Risks for Mutual Funds
  Dozens of mutual-fund specific objectives and risks are provided out-of-the-box.
  
  
• Mutual Fund Specific Reports
  Customizable out-of-box Annual Compliance Report that includes:
  1) Process Management Reports 2) Activity Reports 3) Testing Reports 4) Objective Reports 5) Material Changes Reports
  6) Incident Reports (Exceptions, Investigations and Complaints.)
  
  
• Electronic Board Books
  Board members can review and approve quarterly board books on-line, including the Investment Report, Compliance Report, Audit Report, Incident Report and Activity Report.
  
  
• Mutual Fund Organizational Structures
  Management can be done at several levels: Mutual Funds, Fund Complexes, Mutual Fund Divisions, Service Providers, Mutual Funds with specific pre-loaded business units and processes: Fund Accounting, Underwriting, Transfer Agent, Fund Compliance, etc. This allows:
  • Funds to be cloned in classes that can be brought to production in record times where
  • Assignment of individuals to documents, controls, funds, projects, regulator interactions, etc.; is most or all of what is needed
  
  
• Mutual Fund specific Regulatory References
  Controls, policies, objectives and risks are pre-linked to our Regulation Database, which includes an extensive database of laws, regulations and rules relevant to the mutual fund industry. When you start a mutual fund most, if not all, of the regulatory research has been automated and completed!
  
  
• Pre-Configured Mutual Fund specific Incidents Tracking: (Investigations, Complaints and Exceptions)
  Standard regulator interactions such as SEC audits, examinations, etc. have been pre-loaded. Other regulator interactions are included as well NASD, NYSE, etc.
  
  
• Browser Based
  Anyone involved in compliance can access the application anywhere through a conventional browser: fund directors, CCO, fund managers, services providers, etc.
  
  
• Roles and Security for Mutual Fund roles
  Standard security roles have been pre-configured specifically for mutual fund compliance: fund directors, CCO, compliance team members and analysts, operations test reporters, viewer only, Fund Administrator, Tool Administrators, etc.