HedgeOp Compliance, LLC, the leading provider of specialized compliance software and consulting services for asset managers, today announced the release of the ComplianceTrak Adviser Platform, a tool designed to help small and mid-size registered investment advisers meet the continually evolving demands of today’s regulatory environment. The ComplianceTrak Adviser Platform is a powerful workflow tool that enables managers to meet their compliance requirements and achieve operational efficiency. The ComplianceTrak Adviser Platform uses the same technology and approach of the larger ComplianceTrak Platform (which is a patented workflow tool designed for hedge fund managers).
“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,” said Bill Mulligan, ceo of HedgeOp Compliance. “With ComplianceTrak Adviser, traditional RIA’s 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.”
The ComplianceTrak Adviser Platform’s dashboard serves as the centerpiece of a manager’s compliance infrastructure. Functionality such as instantaneous access to an interactive compliance calendar, Code of Ethics tracking, and reporting capabilities, enable compliance officers to monitor and report on compliance responsibilities simultaneously. Fully integrated with programs such as Outlook, Excel and PDF, the system serves as a simplified way to track activities and document the compliance process.
The ComplianceTrak Adviser Platform was built using the latest Microsoft .NET technology and provides a cutting edge solution that is hosted at a secure world-class data center. The Platform provides the ultimate end-user experience, requiring no software or hardware installation, and contains instructional and regulatory help text for end-users.