sei firm compliance solution for regulated entities
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SEI FIRM COMPLIANCE SOLUTION FOR REGULATED ENTITIES
Manage your firm’s compliance obligations with ease.Compliance programs have grown in scope and complexity over the years to address the ever-growing
demands of regulation. Despite this explosive growth, you may still be managing your programs through
disparate tools such as Word, Excel, Outlook, shared drives and perhaps a code of ethics system.
Managing the activities of the compliance program, tracking issues, assessing and testing the program
periodically, as well as modifying programs to respond to regulatory changes and providing timely
reporting has become unsupportable.
Firm compliance is a component of our regulatory-compliance platform that enables firms like yours to
use automated processes, best-in-class technology and a robust data management service to ease your
compliance obligations. Our platform gives you access to extensive subject matter expertise, peer group
insights and a growing list of analytic services. In addition, it eliminates the need to reconcile disparate
data sets from multiple sources.
A new standard of compliance program management.Consider a reporting tool that captures everything in the system for timely reporting to management and
regulators, setting your compliance management system on par with an order management system or a
customer relationship management system. Our centralized system will enable your firm to mitigate risk,
enhance transparency and provide scale in your compliance program. In addition, our system is easy to
implement and maintain, and will serve as a tool to help your firm identify emerging issues, address new
regulations and facilitate efficient collaboration across your compliance teams.
Our firm compliance solution offers you the infrastructure and support you need to:
› Centralize and consolidate all compliance activities in one repository
› Optimize and streamline efficiency of compliance resources
› Enable comprehensive oversight and risk measurement
› Support regulatory audits and management reporting more efficiently and effectively
Our solution provides:
› Compliance management platform. Manage your compliance program centrally with modules to
support policies and procedures, risk assessments, compliance testing, calendar and workflow tools,
marketing and advertising review, and reporting.
› Code of ethics module. Manage your firm’s code of ethics reporting and monitoring through employee
reporting, including attestations, pre-clearance of trades, restricted lists and automated broker feeds.
› Trading compliance module. Post-trade compliance testing and reporting integrates with trading
systems and allows reviews such as best execution (transaction cost analysis), insider trading, trade
allocation, market manipulation, cross trades and short-term trades.
› Ongoing compliance alerts. The platform provides alerts covering topical compliance matters, training
and a library of content to support changing regulations and news items.
› Comprehensive reporting. Access all compliance activities to generate management and regulatory
reporting. Supports 206(4)-7 reporting for investment advisers, 38a-1 reporting for investment
companies, and broker-dealer compliance program reporting.
A complete solution for all your compliance program management needs:
Our firm compliance solution is a component of our enterprise regulatory-compliance platform. This suite
of services enables your firm to leverage automated processes, best-in-class technology and a robust
regulatory data management service to ease your compliance burden. In addition to firm compliance, we
also offer services for:
› Regulatory data management
› Regulatory reporting program management
› Investor compliance
Our enterprise regulatory-compliance platform can be tailored to your firm’s needs and scales
appropriately as your business requirements change.
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Services provided by SEI Investments Distribution Co.; SEI Institutional Transfer Agent, Inc; SEI Private Trust Company, a federally chartered limited purpose savings association; SEI Trust Company; SEI Investments Global Fund Services; SEI Global Services, Inc.; SEI Investments – Global Fund Services Limited; SEI Investments – Depositary & Custodial Services (Ireland) Limited; and SEI Investments Global (Cayman) Limited, which are wholly owned subsidiaries of SEI Investments Company. The Investment Manager Services division is an internal business unit of SEI Investments Company.
About SEI’s Investment Manager Services DivisionInvestment Manager Services supplies investment
organizations of all types with advanced operating
infrastructure they must have to evolve and compete in a
landscape of escalating business challenges. SEI’s award-
winning global operating platform provides investment
managers and asset owners with customized and integrated
capabilities across a wide range of investment vehicles,
strategies and jurisdictions.
Our services enable users to gain scale and efficiency, keep
pace with marketplace demands, and run their businesses
more strategically. SEI partners with more than 550 traditional
and alternative asset managers, as well as sovereign wealth
managers and family offices, representing over $24.5 trillion in
assets, including 45 of the top 100 asset managers worldwide.
For more information, visit seic.com/ims.
About SEIAfter 50 years in business, SEI (NASDAQ:SEIC) remains a
leading global provider of investment processing, investment
management, and investment operations solutions that help
corporations, financial institutions, financial advisors, and
ultra-high-net-worth families create and manage wealth. As of
December 31, 2019, through its subsidiaries and partnerships
in which the company has a significant interest, SEI manages,
advises or administers $1 trillion in hedge, private equity,
mutual fund and pooled or separately managed assets,
including $352 billion in assets under management and
$683 billion in client assets under administration. For more
information, visit seic.com.
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Call: 610-676-1270 Email: [email protected] Visit: seic.com/ims