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For both Buy and
Sell-Side Firms
The ever-increasing amount of industry and governmental regulations (including
Know-Your-Counterparty, the Patriot Act, among others) - require buy and sell
side firms to exchange and access vast amounts of documents and information.
Communicator's Counterparty and Compliance Management service provides
institutional investors and broker-dealers with an electronic, "full-service
bureau" methodology and platform to securely request, distribute
and access counterparty and compliance information.
Sell-side firms can request and view counterparty documents including Tax Forms, Foreign Bank Certifications, QIB letters, etc. and buy-side firms can easily distribute
those documents as well as investment management agreements, master agreements,
etc. (see below).
Our solutions eliminates the manual processes of chasing and renewing documentation, increases accuracy and reduces the duplication of internal effort across trading desks and business units.
Communicator
provides:
- Full-service
collection, storage and management of counterparty documentation
- Continous
information collection of
standard forms with automated renewal
- Integrated
reporting, audit capabilities and best practices that reduce the risk
and costs associated with counterparty and compliance information
management
- SEC no-action letter (click
here to view Communicator's No Action letter on the SEC web site)
Learn more about specific counterparty and compliance services for:
Broker/Dealers
Investment Managers
Compliance
and Counterparty Documents
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Regulatory Certifications
Qualified
Institutional Buyer (SEC Rule 144A)
Equity
IPO Eligibility (NASD Rule 2790)
Regulation
S (Certification of "Non-US" Persons)
Foreign
Bank Certifications
Corporate
Executive Officers and Directors (EOD) |
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Documentation Certificates
of Formation, Authority & Incorporation
Corporate
Resolutions Memorandum of Association
Investment
Management Agreements
Investment
Advisory Letters
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Tax
Forms
Tax
IDs
W8
W9
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Master
Agreements
ISDA
Master
Futures Trading
Prime Broker Clearing
Repo
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