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SEC Rule 22c-2 and Prospectus Compliance Management

SEC Rule 22c-2 and Prospectus Compliance Management

Comprehensive 22c-2 and prospectus compliance across all distribution channels and product types.
Identify where potentially improper trading may be occurring.

Full Service 22c-2 Compliance Management

Creation and maintenance of custom compliance rules.

Identification, research and validation of flagged trades.

Additional information from intermediaries when necessary.

Underlying data for omnibus trades for all needed research.

Flagged trade review according to compliance break procedures.

Activity reports on status and results of flagged trades.

Customer Service and Training

Monitoring of your trade activity and specialized alert and notification protocols are established through a thorough customer service understanding of your work flow and specific compliance needs.

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