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

Compliance Knowledge Management (CKM)

Compliance Knowledge Management™ (CKM) is the methodology by which our consulting team analyzes the firm's current structure for adhering to each Client's contractual obligation as well as for adhering to the Statutory requirements imposed by each type of investment vehicle. Our team reads each and every legal document, mandate, and investment management agreement entered into by your firm. The CKM review allows our team to identify and format all of the discrete components found in the contractual obligations. This allows for easy entry into C-TRAC™. As each account is reviewed, our team also discovers and documents the internal procedures used for transferring the knowledge and identifies the stakeholders responsible across Portfolio Management, Trading, Mid/Back Office, Performance Management, Compliance, and IT.

» Our team will review and evaluate the firms' current transaction and portfolio compliance procedures on a pre-trade, post-trade and expost-trade basis and, if required, develop a strategy for better coordination and control.

» We will identify missing documentation, inconsistent clauses, and omitted information. C-TRAC™ will allow your Managers and other employees to more effectively adhere to Client Guidelines and Statutory obligations.

» Compliance Science can create standard Client Guidelines and Restrictions that will satisfy both your Clients objectives and meet your Portfolio Manager's current strategies and techniques.

» We will appraise the firms' New Account and Terminated Account process. We will analyze the firms' flow of information and compliance process and suggest strategies for better coordination and control. Compliance Science will help develop internal controls and we will create documentation that will substantiate your firms' compliance effectiveness.