Monitor shareholder trading activity across all funds and channels

Now faced with the responsibility of complying with Rule 22c-2, you need new tools to perform the analysis necessary to meet expanding regulations. CCOs and Board Members are faced with a new challenge - collecting, monitoring and analyzing detailed shareholder trading records to police market timing activity across all funds and distribution platforms, including omnibus accounts, retirement plans, and variable annuity products.

Access Data's Shareholder Compliance is designed to help CCOs and Fund Boards meet these expanding regulatory requirements. Shareholder Compliance aggregates and integrates omnibus sub-account activity with transfer agency information from all sources, across all channels. Users can establish a unique set of flexible analysis tools to monitor and analyze shareholder and fund trading patterns.

Shareholder Compliance enables users to:

• Capture, analyze and report detailed information from omnibus accounts
• Identify and react to potential market timing situations
• Monitor and analyze short term trading patterns by product to determine need for redemption fees
• Monitor internal trading activities by employees
• Manage intermediary relationships
• Maintain all shareholder compliance data in one central repository
• Access auditable list of compliance results

Shareholder Compliance automates the compliance management process by including:

• Definition and maintenance of sales compliance results, rules and rule sets as governed by your firm's procedures
• Compliance monitoring by rules and rule sets
• Assignment of salespeople or clients to one or more compliance rule sets
• Security that limits who can create and maintain compliance rules and rule sets

Access Data's Shareholder Compliance gives CCOs the right tools to easily and effectively monitor all shareholder and intermediary trading activities.