Risk & Compliance

Satisfy investor demand and regulatory requirements.

Regulations keep getting more stringent and complex. Compliance has become an onerous administrative burden, especially for firms investing internationally. SS&C can help lighten the load. Our compliance and risk management solutions and services streamline processes and free staff to be more productive. What’s more, they enable you to demonstrate rigorous controls and transparency to investors and regulators alike.

Compliance: Our solutions enable you to turn your policies into automated processes. Create rules and set alerts to ensure you are never in breach of internal policies, regulations or client mandates.

Risk management: Our streamlined, web-based risk management service withstands investor due diligence and enables you to give clients the visibility they demand.

Regulatory reporting: Take advantage of our automated tools and team of experts to reduce regulatory risk, conserve staff resources and deliver accurate, timely and compliant reports. Our solutions cover both local and global regulations across multiple jurisdictions and regimes, including US SEC Form PF, FATCA, AIFMD, EMIR, MIFID and more.

Blue Sky administration: Designed to give you a competitive advantage. We offer a comprehensive, full-service program that delivers state Blue Sky filings, daily sales monitoring, exemption processing, and secure, online client reporting. Our expert consultants are well-positioned to prioritize what matters to you when dealing with Blue Sky securities - risk mitigation and state fee cost savings. Our flexible Blue Sky administration solution also features enterprise integration and can be used with any transfer agent platform. Read our case study "Blue Sky Administration: Offering the Potential to Achieve State Fee Cost Savings" to learn more.

Fund CCO support services: We provide leading compliance program support, tools and expertise, allowing the CCO to gain enterprise–wide visibility to make good decisions, and focus on the needs of the board and strategic initiatives. Includes delivering CCO reporting, monitoring compliance policies and procedures, and conducting formal reviews and on-going site visits.