Automate the monitoring and enforcement of your firm’s Code of Ethics, including personal
trading activities and conflicts of interest.
Ensure compliance with SEC regulations while reducing manual oversight for investment advisers.
Example: Automatically flag personal trades that violate the firm’s Code of Ethics and generate
alerts for review.
Review advisory fees, track client account performance, and ensure fees are aligned with the
client’s investment objectives and performance.
Prevent overcharging and ensure fee transparency, building trust with clients.
Example: Alert compliance teams when advisory fees exceed agreed-upon thresholds, enabling
prompt review.
Automate the review of marketing materials and advertisements to ensure compliance with SEC
regulations and the firm’s advertising policies.
Reduce the risk of regulatory violations related to misleading advertising or performance
claims.
Example: Review and approve marketing materials using pre-set guidelines that align with SEC
compliance standards.
Ensure your firm’s adherence to fiduciary obligations with automated monitoring of personal trading, advisory fees, and client performance.
Centralize the review of all advisory activities, including advertising, fees, and portfolio changes, from a single, customizable dashboard.
Maintain detailed records of all compliance actions taken by your firm, ensuring transparency and accountability in regulatory reporting.
Request a personalized demo today and discover how Cypher+ can streamline your operations.