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Distribution Oversight

How do you uphold the rules of the prospectus when you can’t see all the links in your distribution chain?

Oversight is one of the hot topics in the industry today. SEC sweeps are taking place, and new compliance rules and regulations are in effect. Our Intermediary Oversight platform gives you the ability to quantitatively and qualitatively evaluate your counterparty relationships in one portal, allowing you to better manage your oversight activities.

KEY FEATURES:

  • Single Portal for managing all counterparty relationships
  • Annual Review Process configuration that comes structured with the ICI framework, with ability to add custom Area of Focus’ and Control Objectives
  • Track key attributes for each counterparty
  • Ability to respond and rate each individual control objective
  • Full analytics dashboard tracking key metrics for all components in the Oversight module
  • Risk Rank your counterparties by combining data points from all across your business
  • Create different configuration profiles so that reviews only contain control objectives relevant for each type of relationship
  • Response Workflow allows for
    • Linking compliance documents (FICCA, SSAE-16, etc..) to responses
    • Heat map creation for control objectives that need follow up or additional information
  • Reporting on annual review outcomes and ability to compare responses across firms and over time
  • Includes our Reporting and Analytics, as well as our Counterparty Management tool
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