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Products

C-TRAC™

CSI DocVault™

PTCC™

Compliance Science, Inc.
419 Lafayette Street
3rd Floor
New York, NY  10003
(212) 327-1533

CSI DocVault™

Document Checklist Management and OCR

CSI DocVault™ is a searchable, sortable document tool designed specifically for Investment Advisors, Brokers/Dealers and Hedge Funds to better enable them to quickly and efficiently respond to regulatory exams. Our patent pending Text Capture / Search System allows you to search for documents based on the text in them, even if they are image based files liked PDFs or TIFs.

Pricing and Registration for CSI DocVault can be found here.

Organize

Take your files and create checklists organized by regulatory functions such as:

Broker Dealers • NASD & NYSE EXAMS • Annual OSJ Audit • Arbitrations • Best Execution • Branch Office Audits • Business Continuity Plan • Compliance or Supervisory Bulletins • Customer Complaints • Deficiency Letters • Form BD • Licensing • Web CRD Administration • Supervisory Procedure Checklist • Regulatory Correspondence • 3012/3013 Certifications • New Account Checklist • Margin Disclosure • Trust Agreement

Investment Advisors • OCIE Exam Request List • Mock Audits • GIPS Audit • Annual Compliance Review • Form ADV Part I & II • SAS 70 • Business Continuity Plan • Regulatory Correspondence • Code of Ethics • FOIA Exempt Documents • Privileged Communications • Client Complaints • Marketing Materials • Policies and Procedures • Board Minutes • No Action Letters • Investment Management Agreements • SubAdvisory Agreements

Hedge Funds & Fund of Funds • Subscription Agreements • Redemption Request Forms • Disaster Recovery Plan • Conflicts of Interest • Code of Ethics • Side Letters • Soft Dollars • Proxy Voting • Disclosure Documents • Fund Documents • ISDA Agreements • Prime Broker Agreements • Service Provider Agreements • Employee Manual • Annual Compliance Review • Resolutions of the Board • Offshore Documents

Supervise

Create silos of information for each of your branches, businesses, products or services and when needed grant stakeholders access to local information. Supervise their activity at any time by accessing their silo.

Archive

Create an eternal archive of all of your documents and be prepared for any audit at any time.