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Back Office
TurboCompliance®
integrates with your prime broker, administrator and other systems, and provides the business
infrastructure to automate many of the business processes and related compliance procedures associated with:
Personal Securities Trading
- Pre-clearance against Watch Lists, Restricted Lists, etc.
- Automated Tracking, Review, Reporting of Initial, Annual and Quarterly Holdings
- TurboFiling of Monthly Trade Data, Confirmations and Brokerage Statements
Books & Records
(TurboFilingSM Document Management & Repository):
- Automatically maintains your required account, transaction, correspondence, complaint, personnel,
advertising, presentation, best execution, soft dollar and proxy voting files
- Automatically prepares your required ADV, privacy, private placement, trade error,
trade allocation and document destruction logs
Assessment of Fees
SEC Filings and Reporting
The TurboCompliance Back Office Solution provides the ability to automate the monitoring, supervision,
detecting, reporting, documenting, sanctioning, annual review and forensic testing required by your
related compliance procedures.
Please review the Modules section for a more complete discussion of how we work in concert with your CCO,
attorney and CPA to build a version of Turbocompliance which delivers an absolute culture of compliance.
TurboCompliance can reduce the compliance work load and related costs from 75% to 85%.
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