• You can capture documents in a number of different ways: scanning of physical documents, fax, email, print, web, automated batch or cycle processing and transaction processing to name a few
• Indexed and stored documents can be retrieved from within the recordkeeping system.
• Documents move through a predefined workflow tailored to your operations
• Documents can be annotated with user notes and comments for future reference
• Has management dashboard reporting at the company, workflow activity and user levels.  Information such as completed, pending and past due work is provided.  The dashboard utilizes a drill down structure to isolate potential workflow bottlenecks that might prompt immediate workflow adjustments.

• A device responsive internet portal for shareholders and their advisors to inquire, trade, maintain, and create accounts
• Designed and built to WCAG 2.1 Level AA standards
• Single-sign on including DocuSign
• Multi-factor authentication, micro deposit and instant bank account verification capable

REST APIs to facilitate real-time integration between corporate systems and the the investor recordkeeping system

• Provides the net of real and estimated shareholder purchase and redemption activity so Portfolio Managers can prepare end of day portfolio trading activity
• Tracks available cash at fund cutoff vs cash coming in afterwards and displays difference
• Tracks estimated trades
  • Estimated trades may come in through phone, fax, electronic methods.
  • Estimated trades are entered into the system
  • When actual trades come into the system, the estimates are matched.
• Dealer variance tracking – estimates vs actual
• Reporting

Allows you to create, maintain and generate tailored letters to shareholders and their investment representatives:

• Automatically populates customer information and account data
• Single and multiple recipient output
• Scheduled and ad hoc correspondence generation

Management and territory mutual fund sales tracking and reporting:

This is a secure, fully managed on-demand 22c-2 trade monitoring service.

• Accept data from any transfer agency or sub-transfer agency system, insurance company, or intermediary either through NSCC, external feeds, or trade portals.
• Analyze your imported data using template-driven business rules you create. Trading patterns that violate your pre-defined rules will be called out to you for disposition.
• Capture, communicate, and centrally document violations and their related research efforts (requests, responses, restrictions and other important information).
• Real-time, online reporting that provides you the relevant detailed information needed to document, review and research your efforts of potential non-compliance events and activities.

Visit our Clarity Compliance page