A Solution for Investment Compliance and Internal Controls

Results

• 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.