Financial Counterparty Oversight Services & Solutions

While the SEC sweeps have come and gone, fund boards still have a high interest in dealer oversight as well as how that oversight operates. With new compliance rules and regulations in effect, there’s an increased reliance on third parties to perform a variety of critical activities.

Why Businesses Choose Delta Data’s Counterparty Oversight Solutions

Delta Data’s Counterparty Oversight platform gives mutual fund companies the ability to quantitatively and qualitatively evaluate their counterparty relationships in one portal, allowing them to better manage their oversight activities.

blue-stretch

Integrated Reporting and Analytics

  • Structured Annual Review Process customized to match your requirements
  • Automation of initiation and follow-up of reviews to balance the annual workload
Star-blue

Relationship and Counterparty Management

  • Direct, encrypted communications network between asset managers and dealers delivering efficiency, security and direct operation integration

Our Approach to Counterparty Oversight

01

Software Portal

  • Allows asset managers to manage their various counterparty relationships in one solution

02

Oversight Workflow

  • Supports all counterparty interactions, such as CRM, contract management, analytics, documents, relationships, due diligence, contract activities, annualized reviews, and more in a centralized portal
  • Pre-configured, out-of-the-box solution for widely-used registered fund distributors and the most likely counterparts

03

Automated Reporting

  • Tracks the approval process, internal discussions, and contract discussions with automated workflow management and notifications

04

Quick Access

  • Repository for frequently used documents
  • Includes Anti-Money Laundering (AML) and Know Your Customer (KYC)

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

Benefits of Partnering with Delta Data for Counterparty Oversight

Through risk management, security, customization, and automation, Delta Data Counterparty Oversight solutions provide asset managers with the necessary tools to best monitor their counterparty relationships. 

 

01

Risk Management

  • Improved management of, and insights into, counterparty relationships and risks

02

Security

  • Secure information and communication exchange with counterparties

03

Customization

  • User customization and configuration of annual and ad-hoc counterparty review processes
  • Analytics to deliver a tailored Risk Index on which all distributors can be assessed

04

Automation

  • Enhanced daily workflow requirements via artificial intelligence and network effects

Other Solutions We Provide

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

Compliance

  • Transparency data, both activity and positions, can be accessed for other ad-hoc reporting and analytics
  • Intelligent rule functionality filters out noise from false positives by flagging only transactions that require review
  • Monitors for 22c-2 excessive trading, sub-account trade rule, Blue Sky, and omnibus large trade violations

Resources & Blogs

FAQ

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Lorem ipsum dolor sit amet, consectetur adipiscing elit. Ut elit tellus, luctus nec ullamcorper mattis, pulvinar dapibus leo.
Lorem ipsum dolor sit amet, consectetur adipiscing elit. Ut elit tellus, luctus nec ullamcorper mattis, pulvinar dapibus leo.
Lorem ipsum dolor sit amet, consectetur adipiscing elit. Ut elit tellus, luctus nec ullamcorper mattis, pulvinar dapibus leo.

FREE CONSULTATION

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.

Copyright © Delta Data 1996-2021

Financial Counterparty Oversight Services & Solutions

While the SEC sweeps have come and gone, fund boards still have a high interest in dealer oversight as well as how that oversight operates. With new compliance rules and regulations in effect, there’s an increased reliance on third parties to perform a variety of critical activities.

Why Businesses Choose Delta Data’s Counterparty Oversight Solutions

Delta Data’s Counterparty Oversight platform gives mutual fund companies the ability to quantitatively and qualitatively evaluate their counterparty relationships in one portal, allowing them to better manage their oversight activities.

blue-stretch

Integrated Reporting and Analytics

  • Structured Annual Review Process customized to match your requirements
  • Automation of initiation and follow-up of reviews to balance the annual workload
Star-blue

Relationship and Counterparty Management

  • Direct, encrypted communications network between asset managers and dealers delivering efficiency, security and direct operation integration

Our Approach to Counterparty Oversight

01

Software Portal

  • Allows asset managers to manage their various counterparty relationships in one solution

02

Oversight Workflow

  • Supports all counterparty interactions, such as CRM, contract management, analytics, documents, relationships, due diligence, contract activities, annualized reviews, and more in a centralized portal
  • Pre-configured, out-of-the-box solution for widely-used registered fund distributors and the most likely counterparts

03

Automated Reporting

  • Tracks the approval process, internal discussions, and contract discussions with automated workflow management and notifications

04

Quick Access

  • Repository for frequently used documents
  • Includes Anti-Money Laundering (AML) and Know Your Customer (KYC)

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

Benefits of Partnering with Delta Data for Counterparty Oversight

Through risk management, security, customization, and automation, Delta Data Counterparty Oversight solutions provide asset managers with the necessary tools to best monitor their counterparty relationships. 

 

01

Risk Management

  • Improved management of, and insights into, counterparty relationships and risks

02

Security

  • Secure information and communication exchange with counterparties

03

Customization

  • User customization and configuration of annual and ad-hoc counterparty review processes
  • Analytics to deliver a tailored Risk Index on which all distributors can be assessed

04

Automation

  • Enhanced daily workflow requirements via artificial intelligence and network effects

Other Solutions We Provide

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

Compliance

  • Transparency data, both activity and positions, can be accessed for other ad-hoc reporting and analytics
  • Intelligent rule functionality filters out noise from false positives by flagging only transactions that require review
  • Monitors for 22c-2 excessive trading, sub-account trade rule, Blue Sky, and omnibus large trade violations

FAQ

Lorem ipsum dolor sit amet, consectetur adipiscing elit. Pellentesque tristique accumsan ex, consectetur elementum mi dictum ut. Mauris at ullamcorper enim. Nunc nisi urna, dictum vel ligula placerat, tristique luctus eros. Pellentesque eleifend dolor ac est ultricies, vitae scelerisque urna molestie.
Lorem ipsum dolor sit amet, consectetur adipiscing elit. Ut elit tellus, luctus nec ullamcorper mattis, pulvinar dapibus leo.
Lorem ipsum dolor sit amet, consectetur adipiscing elit. Ut elit tellus, luctus nec ullamcorper mattis, pulvinar dapibus leo.
Lorem ipsum dolor sit amet, consectetur adipiscing elit. Ut elit tellus, luctus nec ullamcorper mattis, pulvinar dapibus leo.

FREE CONSULTATION

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.

Copyright © Delta Data 1996-2021