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RegTech Compliance Software from RegTech Compliance

An intuitive platform that automates compliance reporting, risk assessments, and audit trails, making it easier for fund managers to stay updated with regulatory changes and minimize compliance risks.

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Product analysis by function

Regulatory Compliance Tools for Fund Management

Solutions for managing SEC filings, KYC/AML requirements, GDPR compliance, and other regulatory obligations specific to investment firms.
More Regulatory Compliance Tools More Fund Management ...

Regulatory Reporting
(4 Yes /4 Known /12 Possible features)

Investor Due Diligence
(0 Yes /0 Known /12 Possible features)

Compliance Management
(8 Yes /8 Known /13 Possible features)

Fund Documentation
(3 Yes /3 Known /13 Possible features)

Investment Compliance
(5 Yes /5 Known /12 Possible features)

Data Management & Security
(7 Yes /7 Known /14 Possible features)

Financial Reporting & Tax Compliance
(0 Yes /0 Known /13 Possible features)

Integration Capabilities
(1 Yes /1 Known /13 Possible features)

Usability & Implementation
(4 Yes /4 Known /13 Possible features)

Analytics & Risk Management
(2 Yes /2 Known /13 Possible features)

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Form ADV Filing Ability to prepare and file Form ADV with the SEC for investment advisers.		Product automates compliance reporting; website specifies automated preparation and e-filing for Form ADV.
Form PF Support Capability to complete and submit Form PF for private fund advisers.		No information available
Form D Filing Support for filing Form D notices for exempt offerings.		No information available
Blue Sky Filing Functionality to handle state-level securities filings.		No information available
AIFMD Reporting Support for Alternative Investment Fund Managers Directive reporting for EU compliance.		No information available
Regulatory Filing Frequency Number of regulatory filing types supported by the system.		No information available
Cross-Border Reporting Ability to handle reporting requirements across multiple jurisdictions.		Market materials describe 'multi-jurisdiction regulatory management'; indicates cross-border reporting.
Report Template Library Availability of pre-built templates for common regulatory reports.		No information available
Automatic Deadline Tracking System monitors and alerts users to upcoming regulatory filing deadlines.		Automatic deadline alerts are advertised as a core compliance automation benefit.
Historical Filing Repository Storage capacity for past regulatory filings for reference and audit purposes.		No information available
Filing Error Validation Pre-submission checks to identify potential errors in regulatory filings.		Pre-submission validation mentioned in product workflow documentation; error-checking before filings.
Regulatory Update Frequency How often the system updates to reflect regulatory changes.		No information available

KYC Workflow Structured process for Know Your Customer verification of investors.		No information available
AML Screening Anti-Money Laundering checks against watchlists and sanctions databases.		No information available
Accredited Investor Verification Tools to verify and document investor accreditation status.		No information available
Investor Risk Scoring System for assigning risk levels to investors based on due diligence findings.		No information available
Beneficial Ownership Tracking Ability to identify and document ultimate beneficial owners of entity investors.		No information available
FATCA/CRS Compliance Support for Foreign Account Tax Compliance Act and Common Reporting Standard requirements.		No information available
Digital ID Verification Electronic verification of identity documents and information.		No information available
Document Collection Portal Secure interface for investors to submit required documentation.		No information available
Verification Processing Time Average time to complete verification processes for new investors.		No information available
Periodic Re-verification Automated process to prompt and track ongoing investor re-verification requirements.		No information available
Watchlist Database Coverage Number of sanctions and PEP lists covered in screening processes.		No information available
Enhanced Due Diligence Workflow Specialized process for high-risk investors requiring additional scrutiny.		No information available

Compliance Calendar Tool to track regulatory deadlines, reporting requirements, and compliance tasks.		Compliance calendar/tracking is part of core workflow per website and product tour.
Policy Management Repository for compliance policies with version control and distribution features.		Policy document management (with version history) referenced explicitly in documentation.
Code of Ethics Management System to track and manage employee code of ethics compliance, including personal trading.		No information available
Regulatory Exam Support Tools to prepare for and respond to regulatory examinations.		Describes auditor-ready content packs and audit assistance tools as a selling point.
Compliance Testing Framework for conducting periodic tests of compliance controls.		Automated 'compliance testing' described under feature list and proven by sample screenshots.
Risk Assessment Tools Features to identify, assess, and document compliance risks.		Risk assessment dashboard built into standard offering; featured in product tour.
Conflicts of Interest Management System to identify, document, and manage potential conflicts of interest.		Platform promises automated conflict checks and disclosures; see compliance workflow section.
Expert Network Tracking Tools to monitor and document expert network consultations for insider trading prevention.		No information available
Political Contribution Tracking System to monitor and approve employee political contributions for pay-to-play compliance.		No information available
Regulatory Alert System Notification system for relevant regulatory changes and updates.		Active regulatory alerts shown and discussed in demo videos on vendor site.
Compliance Training Management Platform for delivering and tracking completion of compliance training.		Training modules and tracking of compliance course completion are referenced as onboarding tools.
Policy Attestation Rate Percentage of staff who have completed required policy attestations on time.		No information available
Regulatory Update Coverage Number of regulatory jurisdictions monitored for compliance updates.		No information available

Document Generation Ability to create fund documents from templates with automated data population.		Automated fund-specific document creation and template use shown in product tour.
Subscription Document Processing System for distributing, collecting, and processing investor subscription agreements.		No information available
Electronic Signature Integration Support for digital signature collection on fund documents.		No information available
Side Letter Management Tools to track and manage individual investor side letter terms and obligations.		No information available
Document Version Control System to maintain document versions and track changes over time.		All documents stored with full version control according to technical suite documentation.
Investor Portal Secure platform for investors to access fund documents and information.		Investor portal and document access for LPs is a highlighted functionality.
Distribution Waterfall Documentation Tools to document and explain distribution calculations and waterfalls.		No information available
Limited Partner Advisory Committee (LPAC) Management Features for organizing LPAC meetings, voting, and documentation.		No information available
Fund Marketing Material Review Workflow for compliance review and approval of marketing materials.		No information available
Document Storage Capacity Amount of document storage provided by the system.		No information available
Document Template Library Size Number of pre-built templates available for fund documentation.		No information available
Multi-language Support Number of languages supported for document generation.		No information available
Document Processing Time Average time to process subscription documents from receipt to acceptance.		No information available

Investment Guideline Monitoring System to track compliance with fund investment guidelines and restrictions.		Investment compliance tracking (including guideline and rule monitoring) advertised.
Pre-trade Compliance Checks Ability to screen potential investments for compliance issues before execution.		The platform automates pre-trade compliance by checking proposed investments before trade execution.
Post-trade Compliance Analysis Tools to monitor portfolio compliance after trades are executed.		Post-trade monitoring of investment activity displayed in product's compliance dashboard demos.
Concentration Limit Monitoring Tracking of investment concentration against defined thresholds.		Concentration/threshold monitoring mentioned under risk controls section in feature list.
Prohibited Transaction Screening Checks to prevent investments in restricted companies or industries.		No information available
ESG Screening Tools to assess investments against environmental, social, and governance criteria.		No information available
LP Investment Restriction Tracking System to monitor compliance with investor-specific investment restrictions.		No information available
Regulatory Investment Limits Monitoring of compliance with regulatory investment thresholds and reporting requirements.		No information available
Cross-Fund Investment Tracking Tools to manage compliance for investments across multiple related funds.		No information available
Rule Processing Speed Time taken to evaluate an investment against all applicable compliance rules.		No information available
Compliance Rule Library Number of pre-built compliance rules available in the system.		No information available
Custom Rule Creation Ability to create custom compliance rules specific to fund requirements.		Custom compliance rule creation is promoted as differentiator in compliance automation.

Data Encryption Methods used to encrypt sensitive data at rest and in transit.		Product emphasizes end-to-end encryption in all marketing and technical docs.
Access Control Management System for defining and enforcing user access privileges to sensitive information.		Role-based access and user log management clearly described on vendor website.
Data Retention Policies Tools to implement and enforce data retention and destruction schedules.		Enforced and auditable retention/destruction schedules are referenced as part of compliance support.
GDPR Compliance Features supporting compliance with General Data Protection Regulation requirements.		GDPR-compliant badge shown on vendor footprint/bottom of page.
CCPA Compliance Features supporting compliance with California Consumer Privacy Act requirements.		No information available
Audit Trail Logging Comprehensive tracking of user activities and system changes.		Comprehensive logging/audit trail for actions/changes shown in demo material.
Data Breach Response Protocols and tools for responding to potential data security incidents.		Data breach response protocols and templates highlighted on compliance toolkit page.
Information Barriers Systems to create and enforce ethical walls between different investment teams.		No information available
Two-Factor Authentication Enhanced security requiring two methods of identity verification.		2FA options described on security features and sign-in workflow.
Data Classification System Framework for categorizing data based on sensitivity and regulatory requirements.		No information available
Security Certification Level Industry security certifications achieved (e.g., SOC 2, ISO 27001).		No information available
Backup Frequency How often system data is backed up for disaster recovery purposes.		No information available
System Uptime Guarantee Percentage of time the system is guaranteed to be operational.		No information available
Security Testing Frequency How often security penetration tests are conducted on the system.		No information available

NAV Calculation Tools for calculating and validating fund Net Asset Value.		No information available
Capital Account Statements Generation of investor capital account statements.		No information available
Schedule K-1 Preparation Support for preparing and distributing Schedule K-1 tax documents to investors.		No information available
FATCA/CRS Reporting Tools for tax information reporting under FATCA and Common Reporting Standard.		No information available
Investor Tax Document Portal Secure platform for investors to access tax documents.		No information available
Carried Interest Calculations System for calculating and tracking carried interest allocations.		No information available
Management Fee Compliance Tools to ensure management fee calculations comply with fund documents.		No information available
GAAP/IFRS Compliance Support for preparing financial statements in accordance with accounting standards.		No information available
Expense Allocation Tracking System for allocating expenses across funds and tracking against budgets.		No information available
Audit Support Package Tools to generate required documentation for annual financial audits.		No information available
Waterfall Calculation Complexity Level of complexity supported in distribution waterfall calculations.		No information available
Financial Statement Generation Time Time required to generate comprehensive financial statements.		No information available
Tax Jurisdiction Coverage Number of tax jurisdictions supported for reporting purposes.		No information available

API Availability Presence of application programming interfaces for system integration.		RESTful API for system integrations, data export, and automation—highlighted in developer resources.
Fund Administrator Integration Pre-built connections to common fund administration platforms.		No information available
Banking System Integration Ability to connect with banking platforms for capital movements.		No information available
CRM System Integration Connectivity with customer relationship management systems.		No information available
Portfolio Management System Integration Links to investment portfolio tracking and management systems.		No information available
Document Management System Integration Connections to enterprise document management systems.		No information available
Email System Integration Ability to connect with email platforms for notifications and communications.		No information available
Data Warehouse Integration Capability to feed data to enterprise data warehouses or analytics platforms.		No information available
Electronic Signature Platform Integration Connections to digital signature services.		No information available
Regulatory Database Integration Links to regulatory information sources and filing systems.		No information available
Number of Pre-built Integrations Total number of ready-to-use integrations available.		No information available
API Response Time Average response time for API calls.		No information available
Data Synchronization Frequency How often data is synchronized between integrated systems.		No information available

Cloud Deployment Option Availability of cloud-based deployment option.		No information available
On-Premises Deployment Option Availability of on-site deployment option.		No information available
Mobile Accessibility Ability to access and use the system via mobile devices.		Promotes mobile accessibility and dashboard views from any device.
User Role Customization Ability to define custom user roles with specific permissions.		User permission and custom role definition mentioned under settings/configuration.
Workflow Customization Capability to create custom approval and review processes.		Workflow engine supports customization—user can set up tailored reviews.
Multi-Fund Support Ability to manage multiple funds within a single instance.		No information available
White Labeling Options Capability to customize the system appearance with firm branding.		No information available
Training Resources Availability of user training materials and programs.		No information available
Implementation Timeframe Typical time required for system implementation and launch.		No information available
Support Response Time Average time for customer support to respond to issues.		No information available
User Interface Customization Degree to which user interfaces can be customized for specific needs.		No information available
Concurrent User Capacity Maximum number of users who can use the system simultaneously.		No information available
Reporting Customization Ability to create and modify custom reports.		Reporting is flexible, with custom report-builder functionality per user documentation.

Risk Dashboard Visual representation of key risk metrics and indicators.		Risk dashboard with compliance and risk indicators shown in all demo materials.
Compliance Violation Alerts Real-time notification system for compliance breaches.		Compliance violation alerting system with real-time notifications described in specs.
Historical Trend Analysis Tools to analyze compliance data over time to identify patterns.		No information available
Regulatory Exam Analytics Analysis of past regulatory examination findings and outcomes.		No information available
Peer Benchmarking Comparison of compliance program effectiveness against industry peers.		No information available
Investor Risk Analytics Analysis of investor-related compliance risks and concerns.		No information available
Portfolio Compliance Analytics Analysis of investment compliance patterns and trends.		No information available
Vendor Risk Management Tools to assess and monitor compliance risks from service providers.		No information available
Operational Risk Monitoring Tracking of operational process compliance and failures.		No information available
Personal Trading Analytics Analysis of employee trading patterns for potential conflicts.		No information available
Report Generation Speed Time required to generate complex analytical reports.		No information available
Data Visualization Options Number of different visualization types available for analytics.		No information available
Maximum Data History Length of historical data maintained for trend analysis.		No information available

RegTech Compliance Software from RegTech Compliance

Product analysis by function

Regulatory Compliance Tools for Fund Management

Regulatory Reporting (4 Yes /4 Known /12 Possible features)

Investor Due Diligence (0 Yes /0 Known /12 Possible features)

Compliance Management (8 Yes /8 Known /13 Possible features)

Fund Documentation (3 Yes /3 Known /13 Possible features)

Investment Compliance (5 Yes /5 Known /12 Possible features)

Data Management & Security (7 Yes /7 Known /14 Possible features)

Financial Reporting & Tax Compliance (0 Yes /0 Known /13 Possible features)

Integration Capabilities (1 Yes /1 Known /13 Possible features)

Usability & Implementation (4 Yes /4 Known /13 Possible features)

Analytics & Risk Management (2 Yes /2 Known /13 Possible features)