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A Solution for Investment Compliance and Internal Controls

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Results

 
Improved data accuracy for the CCO
 
  • 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.
 
Increased collaboration and efficiency
 
  • 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.
 
Streamlined review and annotation
 
  • 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.
 
Increased certification visibility and control
 
  • 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.
 
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