Growing assets while safely navigating the complex distribution regulatory landscape is a challenge. Regulators have heightened their focus on financial advisors and enforcement actions. They expect hedge fund, private equity, and registered fund managers to evaluate regulatory requirements and maintain strong compliance policies and procedures. Our Distribution Services team acts as an extension of your business to support your distribution strategy while ensuring compliance on the part of third-party representatives.
SS&C|ALPS offers a suite of distribution-related solutions for mutual fund, interval fund, private fund and ETF product sponsors.
- Maintain and supervise FINRA registrations for licensed individuals.
- Provide fund marketing and sales literature review, approval and record maintenance.
- Key intermediary platform consulting and support
- Execute and maintain fund selling agreements and authorized participant agreements
- Perform intermediary due diligence
- Intermediary Payments Solution at SS&C|ALPS Distribution Services. The Intermediary Payments Solution (“IPS”) is a full-service solution that enables mutual fund sponsors to outsource intermediary fee-related activities associated with maintaining your organization’s mutual fund distribution syndicate.
- Exchange-traded fund creation/redemption approval