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: Gain a competitive advantage with your Blue Sky Administration program through our suite of Blue Sky functions that includes: daily sales monitoring, state Blue Sky and notice filings, exemption processing and data-driven-improvement recommendations. Our Blue Sky team is uniquely positioned to be your strategic ally in the delivery of your Blue Sky Administration program.

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.