HedgeOp Compliance , a provider of compliance software and consulting services for asset managers, released the ComplianceTrak Adviser Platform, a tool designed to help small and mid-size registered investment advisers meet the evolving demands of today's regulatory environment.
"A critical aspect of any investment advisers business is the ability to comply with Investment Adviser Act requirements, which continue to evolve as mandated by current market conditions," Bill Mulligan, CEO of HedgeOp Compliance, said in a release.
"With ComplianceTrak Adviser , traditional RIAs can now leverage a multitude of tools and robust compliance functionality to fulfill their compliance infrastructure and demonstrate a culture of compliance to investors and regulators," he added.
The ComplianceTrak Adviser Platform's dashboard serves as the centerpiece of a manager's compliance infrastructure. Functionality such as instant access to an interactive compliance calendar, Code of Ethics tracking, and reporting capabilities, enable compliance officers to monitor and report on compliance responsibilities simultaneously, the vendor said.
The system is fully integrated with programs such as Outlook, Excel and PDF.
Melanie Rodier has worked as a print and broadcast journalist for over 10 years, covering business and finance, general news, and film trade news. Prior to joining Wall Street & Technology in April 2007, Melanie lived in Paris, where she worked for the International Herald ... View Full Bio