TL_2.1.18

Compliance Management Solution

Available from SalesFocus Solutions

With the MARS Compliance solution your firm can rest assured that you have the tools to properly oversee fund and prospectus compliance as well as to identify situations where potentially improper trading may be occurring.

MARS provides comprehensive tools for fund and prospectus compliance.

MARS 22c-2 Compliance monitors all transactions for potential 22c-2 violations and provides a comprehensive solution. MARS 22c-2 Compliance provides the flexibility to define both omnibus and non-omnibus compliance rules and scenarios in order to monitor all transactions for potential 22c-2 violations. MARS 22c-2 Compliance provides a comprehensive solution: rules definition, violation review/research, and the ability to track action items. Some of the benefits of the MARS 22c-2 Compliance module:

• Flexible user-configurable rules engine that can be tailored to your specific business needs – for example, rules can be established to look for situations where fees should have been assessed, but were not;
• A complete compliance workflow process to efficiently monitor compliance policies and trading violations and track action item communication;
• Reports to provide daily workflow status and management reporting;
• Audit reporting for compliance violations including action items and communication systematically; and
• The ability to produce a history of all compliance-related activities and communications.

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