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40 Act
The Investment Company Act of 1940 and Investment Advisers Act of 1940 provide bedrocks for SEC regulation of investment companies. Their scope touches day-to-day operations for most companies involved in securities transactions.
Spectra provides the only compliance management tool targeted at the SEC 40 Act regulations. With a focus on SEC regulatory compliance for investment companies, Spectra 40 Act provides a comprehensive tool set for financial investment institutions.
Key Features:
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Tailored specifically for 40 Act compliance
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Easily define users and companies for compliance management
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Create file systems to manage those files that fall under compliance mandates
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Build compliance manuals or work from predefined manuals
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Add evidence and documents for specific compliance cases
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Make attestations to satisfy policy requirements
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Schedule and manage tasks with a built-in calendar
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View at-a-glance reports of your compliance tests
Benefits:
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Reduces the costs associated with 40 Act compliance requirements
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Provides a centralized, web-based location for your corporate compliance documents and case files
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Automates scheduling and reporting of compliance tests
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White Paper
Download Information Technology Compliance Best Practices by Alan Belshaw
 Click here |
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White Paper
Automating the Compliance Management Life Cycle: A Holistic Approach to IT Compliance and Risk Management
Download Now |
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Spectra Demo
View our Compliance Officer Demo
Download Now |
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