Compliance

The ongoing migration in the financial services industry toward sub-accounting presents a number of challenges to fund companies and intermediaries. As shareholder trading activity moves further away from fund managers, the responsibility to ensure compliance with trading practices remains with the fund. Envision has developed an automated and secure service that simplifies the complex and manual processes associated with collecting and analyzing trading data. Our Clarity Compliance service takes care of the data collection and analytical aspects of Rule 22(c)-2 so you can focus on building relationships and growing your business.

PowerAgent provides systematic compliance and control capabilities to mitigate your risk:

Transfer Agency

  • AML/CIP Data Interface
  • Breakpoint Monitoring Discrepancy Report
  • Cost Basis Reporting
  • ERISA Limitation – Offshore Funds
  • Large Trade Report
  • Market Timing Monitoring and Reporting
  • Reporting Sales Charges on Confirmations and Statements
  • Required Minimum Distribution
  • Sales Breakpoint Monitoring
  • Short-Term Redemption Fees
  • TA-2 Report
  • Tax reporting
  • Trades Processed after Market Close Report

Subaccounting

  • AML/CIP Data Interface
  • Breakpoint Monitoring Discrepancy Report
  • Cost Basis Reporting
  • ERISA Limitation – Offshore Funds
  • Large Trade Report
  • Market Timing Monitoring and Reporting
  • Reporting Sales Charges on Confirmations and Statements
  • Required Minimum Distribution
  • Sales Breakpoint Monitoring
  • Short-Term Redemption Fees
  • Single account establishment
  • Suitability Tracking
  • TA-2 Report
  • Tax reporting
  • Trades Processed after Market Close Report

529 Programs

  • Calendar year investment option change limits
  • Contribution limits checks
  • Single account establishment
  • Tax reporting