US 1940 Act Investment Compliance Monitoring

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INTERACTIVE
REAL-TIME REPORTING

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TIME-SERIES
REPORTING

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ALL
CALCULATIONS

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FULL
TRANSPARENCY

US 1940 Act Investment Compliance Monitoring Software Overview

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:

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    Installed or Web-based (SAAS, secure FTP) – no internal technology requirements
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    Just upload holding file (simple file format) and press “GO”
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    Rules are pre-coded
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    View results, manage exceptions and run tailored reports
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    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:

  • null
    Installed or Web-based (SAAS, secure FTP) – no internal technology requirements
  • null
    Just upload holding file (simple file format) and press “GO”
  • null
    Rules are pre-coded
  • null
    View results, manage exceptions and run tailored reports
  • null
    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.

Investment Rules Training & Certification

Strengthen your team’s expertise in UCITS Investment Rules with our ATLAS Funds Training portal. Access bite-sized modules and workshops covering UCITS investment limits, borrowing rules, transferable securities, derivatives, and compliance workflows. Stay audit-ready and up to date as regulations evolve.
Start UCITS Investment Rules Training

US 1940 Act Investment Compliance Insights & News

Get in Touch to Learn More

Learn how our US 1940 Act Investment Compliance Module can transform your compliance processes. Whether you’re curious to learn more or ready to see it in action, we’re here to help. Fill out the form below, and a member of our team will be in touch to provide tailored insights or arrange a personalised demonstration.