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Compliance

Delta Data delivers automated compliance tools for Fund Companies to monitor and report on their Intermediary’s adherence to prospectus rules.

22c-2 activity analytics, sub-account trade rule monitoring and omnibus large trade notification policy monitoring are provided in our fully-automated compliance package, DART.

With DART, Fund company’s management of the request/response process with their intermediary relationships is fully automated. Analysis of the data returned is business rule based in order to monitor for market timing events and other trade rule violations.  Reports on excessive trading activity, trade rule violations, and large trade violations are automated and delivered to the user’s email. Through an analytic workflow, violations are identified, social security numbers are setup on a watch list, and sanctions are applied to individuals with repeated offenses.

Do these pain points sound familiar?

  • Your firm pays for 22c-2 support yet receive reports that rarely leads to definitive market timing observation
  • You must access multiple systems to look at trade minimum adherence, market timing, and large trade notifications
  • You are manually requesting transparency data or trade information to perform analysis
  • Your ability to track accounts in violation over the long term is lacking ― making repeat offender identification difficult
  • Your internal IT chargeback provide shock and awe for retrieval, storage, and access to Omniserve transparency data from your intermediaries

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

KEY BENEFITS:

Benefits include:

  • Fully-automated data retrieval – whether direct from the funds or from sub-TA service providers
  • Complex rules that filter out the noise and provide only the transactions that need review
  • Flexibility to add additional trade rules as compliance requirements expand over time
  • Integrated reporting and analytics to show that your program is on the ball and delivering great value
  • Integration with our Intermediary Oversight platform to provide a complete view of all intermediary oversight activities in a single place

In addition, 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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