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22c2 Compliance


Learn How Access Data Can Help with SEC Rule 22c-2

Aggregate and integrate omnibus sub-account activity with Access Data Shareholder Compliance which effectively performs the monitoring and analysis to help comply with SEC Rule 22c-2. With transfer agency information from all sources, across all channels Shareholder Compliance enables users to:

  • Capture, analyze and report detailed information from omnibus accounts
  • Identify and react to potential market timing situations
  • Monitor and analyze short term trading patterns by product to determine need for redemption fees
  • Monitor internal trading activities by employees
  • Manage intermediary relationships
  • Maintain all shareholder compliance data in one central repository
  • Access auditable list of compliance results