Compliance Science - Regulatory Compliance Software - C-TRAC™, CSI DocVault™ and PTCC™

Products

Organize - Supervise - Archive™

Our products follow a common design philosophy - imperative to demonstrating controls

C-TRAC™ - An enterprise scaled tool designed to capture and certify institutional contract data across all clients and counterparty agreements including IMAs, Sub Advisory Agreements, Prospectuses, Subscriptions, High Net Worth, Wrap Accounts, ISDAs, Sec Lendings, Side Letters, etc. C-TRAC™ allows stakeholders to access and review all legal obligations 24x7x365 using secure browser based technology.

CSI DocVault™ - A searchable and 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 unique Text Capture system and OCR engine allows you to search documents and even image-scans based on the text within.

Personal Trading Control Center™ - PTCC™ provides complete Code of Ethics, 204 a-1, & 17j-1 surveillance and will significantly reduce your operating costs when compared to the traditional solutions . It provides all the features you would expect such as pre-clearance, electronic confirms, and back testing - plus features that no other system has such as "risk based" analysis, third party insider trading mapping, and other controls that support the scrutiny requested by the SEC’s recent hedge fund sweeps. PTCC™ will let you do much more and pay much less.