COMPLIANCE

Compliance, held continuously.

COMPLIANCE

Compliance, held continuously.

Every fee is checked against your regulatory obligations, with the governance trail your compliance team needs to sign off with confidence.

ANIMATION PLACEHOLDER

4 states

4 states

State rulebooks tracked live

10 days

10 days

Regulator retrieval, met

Every fee

Every fee

Checked against policy

Compliance

Regulatory fee standards, built in

Regulatory fee standards, built in

Every fee line is mapped to the rules that govern it, and recommendations are tested against sector obligations before they ever reach review.

Every fee line is mapped to the rules that govern it, and recommendations are tested against sector obligations before they ever reach review.

Value assessment support

Value assessment support

Peer benchmarking and a value evidence base are ready whenever a fund fee needs assessing.

Peer benchmarking and a value evidence base are ready whenever a fund fee needs assessing.

Pricing policy, enforced automatically

Pricing policy, enforced automatically

Discount floors, approval thresholds and pricing bands are checked automatically, every time.

Discount floors, approval thresholds and pricing bands are checked automatically, every time.

Second sign-off, built in

Second sign-off, built in

A second pair of eyes always checks pricing decisions, kept separate from the team that sets them.

A second pair of eyes always checks pricing decisions, kept separate from the team that sets them.

Manager accountability evidence

Manager accountability evidence

A documented record shows senior managers took reasonable steps over pricing within their remit.

A documented record shows senior managers took reasonable steps over pricing within their remit.

Committee reporting

Committee reporting

Governance summaries are produced for risk, audit and product committees.

Governance summaries are produced for risk, audit and product committees.

Evidence packs, ready for audit or regulator

Evidence packs, ready for audit or regulator

Responses to a regulator’s information requests, and internal or external audit testing, are answered from one record — not a manual evidence hunt.

Responses to a regulator’s information requests, and internal or external audit testing, are answered from one record — not a manual evidence hunt.

Regulatory change tracking

Regulatory change tracking

You’re alerted when new rules or guidance affect a live fee structure.

You’re alerted when new rules or guidance affect a live fee structure.

Policy drift

Policy drift

Flags clients who’ve slipped outside policy bands through ad hoc discounting.

Flags clients who’ve slipped outside policy bands through ad hoc discounting.

Notice period checks

Notice period checks

Go-live dates are checked against the notice investors are owed before a fee change.

Go-live dates are checked against the notice investors are owed before a fee change.

Disclosure accuracy & refresh alerts

Disclosure accuracy & refresh alerts

Published fees are checked against what’s actually charged, and you’re flagged when documents need updating once a change is approved.

Published fees are checked against what’s actually charged, and you’re flagged when documents need updating once a change is approved.

HOW IT WORKS

01

Regional compliance tooling

Rules tracked per jurisdiction, applied automatically to every decision.

02

Record keeping

Every fee decision retained for as long as your regulator requires.

03

Notification obligations

Regulator notifications triggered automatically when a threshold is crossed.

IN PRACTICE

Example 01

Example 01

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Example 02

Example 02

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Example 03

Example 03

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Example 04

Example 04

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Example 05

Example 05

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GET STARTED

Compliance that runs itself.

Compliance that runs itself.

Compliance that runs itself.

Bring a live pricing scenario. We’ll show you the compliance tooling and record-keeping behind it.