22c-2 activity analytics, sub-account trade rule monitoring and omnibus large trade notification policy monitoring are provided in our fully-automated compliance package, DART.
With DART, Fund company’s management of the request/response process with their intermediary relationships is fully automated. Analysis of the data returned is business rule based in order to monitor for market timing events and other trade rule violations. Reports on excessive trading activity, trade rule violations, Blue Sky and large trade violations are automated. Through an analytic workflow, violations are identified, shareholders are monitored on a watch list, and sanctions are applied to individuals with repeated offenses.