Industry-Leading Mutual Fund Compliance Program for Data, Analytics, Reporting & Transparency

Delta Data delivers automated mutual fund compliance services and tools for fund companies to monitor and report on their counterparty’s adherence to prospectus rules.

Why Businesses Choose Delta Data for Pooled Investment Compliance

Prospectus compliance and SEC regulations require a reliable post-trade surveillance system. Delta Data’s solution provides the ability to manage requests sent by a fund company, analyze the data received, report on 22c-2 activity, and perform administrative functions to help meet the demands of SEC Rule 22c-2.

With Delta Data’s Compliance solutions, asset management firms benefit from:

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, sub-account 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 repeated 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 the NSCC, guaranteeing reliable and up-to-date trade data

Who We Serve / Who Benefits

Mutual Fund Companies

Transfer Agencies

Fund Servicing Companies

Our Approach to Compliance

Violations are Identified

Identified through an analytic workflow
Analysis of data is business-rule based to monitor for various trade violations

Shareholders are Monitored on a Watchlist

Analytic workflow continues to monitor identified violators through a comprehensive watchlist

Sanctions are Applied to Individuals with Repeated Offenses

Automated workflow initiates sanctions on violators with repeated offenses
Reduces risk of repeat offenders through a thorough identification process and long-term account tracking

Benefits of Partnering with Delta Data for Compliance Solutions

With Delta Data’s compliance solutions, fund company’s management of the request/response process with their counterparty is fully automated.

Transparency Data

Transparency, both active and positions, can be accessed for other ad-hoc reporting and analysis

Intelligent Rule Functionality

Intelligent rule functionality filters out noise created by fake positives and flags only those transactions that require a review
Include/Exclude functionality to reduce data volume and noise

Flexibility

Flexibility to add traditional rules as compliance and regulatory requirements expand over time

What Our Partners Have to Say About Delta Data

I will say however, that our experience to date under the ASP model has been better than I anticipated and feel it’s been a win/win situation on both sides of the equation!

ANETTE FLEMMING

Director of Trading and Clearing, Insurance Client

To date, we’ve been very impressed by both the reliability of the services Delta Data has been providing as well as with the professionalism and responsiveness of your entire team! I feel that this truly has been a great partnership.

JENNIFER DOE

Director of Trading and Clearing, Insurance Client

Trade Manage has been awesome for us.

ROBERT JONES

SVP, Trust Client

Fee Management

Automatically extract valuable data from 1,150+ invoice formats using Artificial Intelligence
Take control of the fee approval process, as opposed to working through the vendor
Efficiently manage the critical component of rules-based billing for the fund

Intermediary Oversight

Quantitatively and qualitatively evaluate counterparty relationships in one portal for better management of oversight activities
Customize and configure annual and ad-hoc counterparty review processes
Analytics provide for tailored Risk Index on which each distributor can be assessed
Enhance daily workflow requirements via Artificial Intelligence and network events

Resources & Blogs

https://deltadata.com/wp-content/uploads/2020/02/delta-data1.png

Current schedule on Event Page

Sales: 706-321-5551

sales@deltadata.com

SERVICES

USEFUL LINKS

FREE CONSULTATION

SALES: 706-321-5551

Delta Data provides the back-end solutions that companies in the mutual funds industry use to process trillions of dollars of transactions and keep on top of their data.

Industry-Leading Mutual Fund Compliance Program for Data, Analytics, Reporting & Transparency

Delta Data delivers automated mutual fund compliance services and tools for fund companies to monitor and report on their counterparty’s adherence to prospectus rules.

Why Businesses Choose Delta Data for Pooled Investment Compliance

With Delta Data’s Compliance solutions, asset management firms benefit from:

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, sub-account 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 repeated 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 the NSCC, guaranteeing reliable and up-to-date trade data

Who We Serve / Who Benefits

Mutual Fund Companies

Transfer Agencies

Fund Servicing Companies

Our Approach to Compliance

Violations are Identified

Identified through an analytic workflow
Analysis of data is business-rule based to monitor for various trade violations

Shareholders are Monitored on a Watchlist

Analytic workflow continues to monitor identified violators through a comprehensive watchlist

Sanctions are Applied to Individuals with Repeated Offenses

Automated workflow initiates sanctions on violators with repeated offenses
Reduces risk of repeat offenders through a thorough identification process and long-term account tracking

Benefits of Partnering with Delta Data for Compliance Solutions

With Delta Data’s compliance solutions, fund company’s management of the request/response process with their counterparty is fully automated.

Transparency Data

Transparency, both active and positions, can be accessed for other ad-hoc reporting and analysis

Intelligent Rule Functionality

Intelligent rule functionality filters out noise created by fake positives and flags only those transactions that require a review
Include/Exclude functionality to reduce data volume and noise

Flexibility

Flexibility to add traditional rules as compliance and regulatory requirements expand over time

What Our Partners Have to Say About Delta Data

I will say however, that our experience to date under the ASP model has been better than I anticipated and feel it’s been a win/win situation on both sides of the equation!

ANETTE FLEMMING

Director of Trading and Clearing, Insurance Client

JENNIFER DOE

Director of Trading and Clearing, Insurance Client

Trade Manage has been awesome for us.

ROBERT JONES

SVP, Trust Client

Fee Management

Automatically extract valuable data from 1,150+ invoice formats using Artificial Intelligence
Take control of the fee approval process, as opposed to working through the vendor
Efficiently manage the critical component of rules-based billing for the fund

Intermediary Oversight

Quantitatively and qualitatively evaluate counterparty relationships in one portal for better management of oversight activities
Customize and configure annual and ad-hoc counterparty review processes
Analytics provide for tailored Risk Index on which each distributor can be assessed
Enhance daily workflow requirements via Artificial Intelligence and network events

Resources & Blogs

Current schedule on Event Page

Sales: 706-321-5551

sales@deltadata.com

SERVICES

USEFUL LINKS

FREE CONSULTATION

SALES: 706-321-5551

Delta Data provides the back-end solutions that companies in the mutual funds industry use to process trillions of dollars of transactions and keep on top of their data.

Industry-Leading Mutual Fund Compliance Program for Data, Analytics, Reporting & Transparency

Why Businesses Choose Delta Data for Pooled Investment Compliance

Fully-Automated Compliance

Auto-Curated Data

Program Integration

Sourced Data

Who We Serve / Who Benefits

Mutual Fund Companies

Transfer Agencies

Fund Servicing Companies

Our Approach to Compliance

Violations are Identified

Shareholders are Monitored on a Watchlist

Sanctions are Applied to Individuals with Repeated Offenses

Benefits of Partnering with Delta Data for Compliance Solutions

What Our Partners Have to Say About Delta Data

ANETTE FLEMMING

JENNIFER DOE

ROBERT JONES

Other Solutions We Provide

Resources & Blogs

FAQ

Industry-Leading Mutual Fund Compliance Program for Data, Analytics, Reporting & Transparency

Why Businesses Choose Delta Data for Pooled Investment Compliance

Fully-Automated Compliance

Auto-Curated Data

Program Integration

Sourced Data

Who We Serve / Who Benefits

Mutual Fund Companies

Transfer Agencies

Fund Servicing Companies

Our Approach to Compliance

Violations are Identified

Shareholders are Monitored on a Watchlist

Sanctions are Applied to Individuals with Repeated Offenses

Benefits of Partnering with Delta Data for Compliance Solutions

What Our Partners Have to Say About Delta Data

ANETTE FLEMMING

JENNIFER DOE

ROBERT JONES

Other Solutions We Provide

Resources & Blogs

FAQ