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Compliance

DART, Delta Data’s compliance product for fund companies, provides automated monitoring and analytics for complete 22c-2, sub account and omnibus fund policy trade monitoring.

Through a hosted environment, fund companies manage the request/response process with their intermediary relationships, analyze the data returned, monitor for market timing events and report on excessive trading activity. Through an analytic workflow, violations are identified, SSN’s are setup on a watch list, and sanctions are applied to individuals with repeated offenses.

KEY FEATURES:

  • Omnibus / Super Omnibus / Shareholder level analysis
  • Include / Exclude functionality to reduce data volume and noise
  • Statistical functions that include:
    • Thresholds
    • Standard Deviations
    • % of Positions Sold

DATA SOURCES INCLUDE:

  • NSCC SDR & Omni/SERV Networking
  • SuRPAS DSA / DSP
  • Direct DART Intermediary Participants
  • Data Upload Methodology

DART is fully integrated with our Reporting and Analytics platform. This integration provides benefit to your Oversight Program by providing trade monitoring results for constant review of violations to your trading policies.

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