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.

READ MORE

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.

READ MORE

TO FIND OUT MORE ABOUT OUR 1940 ACT SOLUTION OR TO BOOK A DEMO, PLEASE CONTACT US ON +44(0)28 9032 9736 OR INFO@FUNDS-AXIS.COM

+44 (0)28 9032 9736     CONTACT US