A Solution for Investment Compliance and Internal Controls
- Information is linked, so if a change is made to policies and procedures for Rules 206(4)-7 and 38a-1, the related information in the internal controls documentation is automatically updated.
- The CCO always has access to up-to-date information in policies, procedures, and internal controls and is confident in the data submitted to the board of directors and investors.
- Multiple teams create and edit policies and procedures simultaneously within a single environment.
- All team members, including the CCO, can view dashboards that reflect the status of controls.
- The team now stores all evidence, policies, and procedures in a single, secure environment and no longer has to navigate a complex network drive.
- Reviewers compare samples side-by-side with internal control testing sheets and then mark up with a full audit trail of annotations.
- An automated certification process allows for the internal controls and compliance teams to spend more time on value-added activities.
- A dynamic dashboard provides the status of all certification processes.