SOLUTIONS FOR ASSET MANAGERS
22c-2 compliance monitoring and reporting
Automated monitoring and analytics for complete 22c-2, subaccount, and omnibus fund policy trade monitoring
Delta Data’s monitoring and reporting solution provides the ability to manage requests sent by fund companies, analyze the data received, report on 22c-2 activity, and perform administrative functions to help meet the demands of SEC Rule 22c-2.
Why Businesses Choose Delta Data
Effectively Monitor 22c-2 Compliance
Transparency Data
- Access transparency data, both activity and positions, for other ad-hoc reporting and analysis
- Full data warehouse for storing TA and sub-TA transparency files
- Multi-system interface integrated to transmit and accept data from NSCC and accept data from Omni/SERV and SuRPAS
Intelligent Rule Functionality
- Filter out noise from false positives with intelligent rule functionality by only flagging transactions that require review
Flexibility
- Add traditional rules as compliance and regulatory requirements expand over time
- Customizable analytic rules and fully automated analytic processing across both omnibus and participant trades
Fully Automated Compliance
- Delivers trade activity transparency to asset managers, ensuring adherence to market timing regulations and prospectus rules
- Monitors for 22c-2 excessive trading, subaccount trade rule, Blue Sky, and omnibus large trade violations
Auto-Curated Data
- Analysis of auto-curated data is business rule-based in order to monitor for market timing events and other trade rule violations
- Violations are identified, shareholders are monitored on a watch list, and sanctions are applied to individuals with repeat offenses
Program Integration
- Serves as the primary data warehouse for Delta Data’s Asset Management Solutions suite
- Connects with Fee Management and Counterparty Oversight to power counterparty analytics in a single place
Sourced Data
- Data is sourced directly from NSCC, guaranteeing standardized and up-to-date trade data from the intermediary
