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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

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:

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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.

ATLAS Funds Training

Learn more about Investment Compliance Rules with our Online Fund Training portal.
Visit Portal

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.