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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
Request a Demo
For more information or to see a demo of our US 1940 Act Investment Compliance Monitoring Software, please complete the form below. A member of our team will contact you as soon as possible.