MARS Compliance provides a complete solution to monitor identify, track, resolve and audit, in order to fulfill all of your SEC Rule 22c-2 compliance management requirements.
Compliance rules are customized to address the specific needs and concerns of your firm. Our unparalleled service means that we work directly with you to create and maintain your custom compliance rules. Our team works reports on your behalf to identify, research and validate each trade. Plus, our strong partnership with the intermediary community ensures we can expedite resolution. You can also stay informed of the process with our Activity Reports that provide the details, status and results of each flagged trade being worked.
MARS Compliance offers:
- Ability to monitor non-conforming shareholder trade activity as defined by prospectus rules and to comply with Rule 22c-2.
- Integration of multiple data feeds to monitor underlying activity from third-parties that trade via an omnibus account.
- Flexible rule configuration unique to your business
- Trade analysis and review of workflow management
