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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.

Personal Approach

Our proactive methodology involves a detailed investigation of each case. We delve into the specifics of potential market timing and suspicious trades. Our involvement in 22c-2 compliance extends to scrutinizing trades and activities that exhibit hallmarks of money laundering across multiple trading platforms.

False Positives

Through thorough investigation, we can ascertain whether an activity that initially appears suspicious is indeed a case of market timing or money laundering. Our meticulous approach to 22c-2 compliance ensures that our clients are not unnecessarily alarmed by false positives.

True Positives

In cases of real money laundering, we engage directly with our clients, leveraging our resources and expertise in 22c-2 compliance to provide guidance and support. Our role is not just as a provider of 22c-2 reports but as a partner who assists in navigating the complex landscapes of financial compliance and security.

Multiple Platforms

SFS tracks and responds to suspicious activities across multiple platforms including Schwab, TD and Morgan Stanley’s E-trade. This capability is about recognizing patterns, understanding the tactics of those involved in money laundering and taking decisive action each time these patterns emerge. This is the partnership approach to 22c-2 compliance

Board Reporting

We ensure that all actions taken, including locking out suspicious accounts, and the reasons behind each decision are meticulously documented and reported. This is critical not only for 22c-2 compliance but also for maintaining the integrity and transparency of our client’s financial practices.

More Than Mere 22c-2 Reporting

Our full-service model includes active investigation and research into trades, giving clients a deep understanding of their 22c-2 compliance status and any potential risks. A partner is essential in navigating these intricate areas of 22c-2 compliance. Technology backed by experienced client service is key.

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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