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View/Print Clarity Literature (PDF)
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Clarity Compliance 22c-2 Solution
THE ONE INSURANCE POLICY YOU MUST HAVE
The ongoing migration in the financial services industry toward sub-accounting presents a number of challenges to fund companies and intermediaries. A primary concern is cost effectively promoting sales while ensuring adherence to fund policies and regulatory requirements. As shareholder trading activity moves further away from fund managers, the responsibility to ensure compliance with trading practices remains with the fund.
Envision has developed an automated and secure service that simplifies thecomplex and manual processes associated with collecting and analyzing trading data. Our Clarity Compliance service takes care of the data collection and analytical aspects of Rule 22(c)-2 so you can focus on building relationships and growing your business.
Clarity Compliance Highlights
Clarity Compliance allows you to create a more efficient operating model while simultaneously reducing risk, and increasing intermediary oversight.
OnDemand Clarity Compliance is an on-demand 22(c)-2 compliance service that you can access with an internet connection and browser. There are no expenditures for hardware or software. Executive Dash Board View alerts, messages and drill down into a summary of your compliance efforts from a single page. Data Imports Accept data from any transfer agency or sub-transfer agency system, insurance company, or intermediary either through NSCC, external feeds, or trade portals. Data Analytics Analyze your imported data using template-driven business rules you create. Trading patterns that violate your pre-defined rules will be called out to you for disposition. Business Event Monitoring Monitor trading activity based upon percentage of trade to assets, trading patterns or trade frequency for a risked-based approach to compliance. Business Rules Create and manage your own fund and corporate trading rules based on your specific policies, quickly, without the need for programmers, and apply those rules to the data analytics. Case Management Capture, communicate, and centrally document violations and their research efforts. Comprehensive Audit Trail Capture your findings and activities in one central location to present your data and results in a way that can easily be audited by internal compliance and regulatory authorities. Business Reporting Real-time, online reporting that provides you the relevant detailed information needed to document, review and research your efforts of potential non-compliance events and activities. Application Service Provider Rapidly deploy all aspects of hardware, software, databases, communications, security and support without the need for capital expenditure or IT projects.
Clarity Compliance Features and Benefits
Intermediary Services Our business experts take on all aspects of interacting with the intermediaries distributing your funds so you don’t have to. We establish the data feeds and ensure your data requests are fulfilled. Business Support You have access to experts that help you troubleshoot business issues and their application within Clarity Compliance. We make sure that any system enhancement, whether initiated by you or someone else, is managed, programmed and tested, using the highest standards known in the industry. Data Security Security and integrity of yours and your shareholder’s data is our highest priority. A multi-layer data security architecture using full encryption on sensitive data works in unison to ensure your customer’s data is protected through the entire information processing lifecycle. Implementation Services Clarity Compliance and its implementation was recognized as the “Best Post Trade Implementation” by Fund Actions. We manage the entire process. We make certain your rules are established correctly and you are able to monitor your funds trading activity. Application Hosting and Security Clarity Compliance is a Software as a Service. You can rest easy knowing the Clarity Compliance solution application and technology is monitored 24 X 7 to ensure no disruption to your business. We handle all your concerns from physical and logical security to business continuity. Application Support and Maintenance You benefit from using a system we support, upgrade and maintain. There is no need for you to use your valuable technology resources on these efforts. Data Interfaces Your needs and goals are unique. We have taken care to design, create and produce a modular and flexible system. Each external data interface has been designed to be a “pluggable” component. New data interfaces are easily created and integrated into the core system with little or no impact.
The Clarity Compliance 22c-2 Solution is proven. Let us show you how Clarity Compliance is the right compliance solution for your needs. Contact us today at (262) 834-0080 or info@celerasystems.com.
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