Hedge Funds

Compliance without compromise

Helping Hedge Funds comply with recordkeeping rules.

Increased regulatory scrutiny, data security concerns, and an ever more competitive market, are just some of the pressing issues for Hedge Funds today. We help Hedge Funds add value with comprehensive data solutions, so that they stay competitive, as well as compliant.

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One platform. A complete approach

Total recordkeeping, supervision, and audit solution for Hedge Funds subject to the compliance requirements of the SEC, FINRA, and various exchanges.

Recordkeeping

Supervision

Audits

Automatically capture and retain, communications data across email, instant messaging, Bloomberg®, LSEG, mobile messaging, social media, and more.

Preserve and index original metadata for each data type.
Retain data for the required 3-to-6 year term (or as defined by your internal policies).
Store tamperproof copies of each archived communication.
Full-text index and serialize each archived communication.
Log all actions on each archived communication in unalterable audit trials.
Migrate your legacy data with a clean and defensible chain of custody.
Extend retention terms for legal holds and regulatory investigations.
Appoint Global Relay as your Third Party Downloader for independent SEC and FINRA mandated access.

Proactively manage oversight obligations, while ensuring transparency and policy understanding, across the organization.

Automatically flag communications based on flexible rules.
Conduct advanced analysis with Boolean logic, criteria lists, proximities, and more.
Randomly sample data
View highlighted keyword matches for quick review.
Conduct full review of communications and attachments.
Approve, reject, or escalate flagged communications with action icon and notes.
Build a multi-tiered review structure for escalation, to senior compliance staff.
Create wizard commands to perform multiple actions with a single click.
Filter review queues by policy type, status, date, and other criteria, using a Compliance Dashboard and advanced search controls.
Enforce granular access rights
Document activity in unalterable audit trials.
Create and modify supervision policies and workflows.
Monitor activity with detailed ad hoc and scheduled reports.

Respond to regulators with speed and certainty, to portray the right image for your team.

Search for and retrieve any archived communication in seconds.
Produce data online for regulators, external legal counsel, and other third parties.
View statistics and reporting on compliance reviews and related actions taken.
Extend retention terms for legal holds and anticipated investigations.
Leverage our in-house legal, Audit, and eDiscovery teams to assist with audits, subpoenas, and other investigations.
Use case management tools to identify, organize, and review data.