From SEC/FCA regulatory tracking to portfolio-wide GRC monitoring — purpose-built for investment managers and their portfolio companies.
Covers: SEC · FCA · CFTC · SFDR · ISSB · Form ADV · Form PF · AML/KYC · ESG
6 AI agents analyse your fund's compliance posture and generate a CCO-ready board report in under 90 seconds
Paste marketing copy, pitch deck text, or website content below for review against all 7 key Marketing Rule criteria.
Generate the standard GIPS claim of compliance statement ready to insert into marketing materials and composite presentations.
| Requirement | GIPS 2020 | SEC Marketing Rule | Alignment |
|---|---|---|---|
| Show net returns | Required | Required (Rule 206(4)-1(d)(1)) | ✅ Aligned |
| Show gross returns | Required alongside net | May show gross if net also shown | ✅ Aligned |
| 1/5/10 year periods | 5-year minimum (or since inception) | Required for RIA ads | ⚠️ Partial |
| Benchmark | Required — must use appropriate | Must not omit material info | ✅ Aligned |
| Hypothetical performance | Clearly labelled, limited use | Strict conditions apply | ✅ Aligned |
| Cherry-picking | All fee-paying accounts must be included | Prohibited — must be fair & balanced | ✅ Aligned |
| Testimonials | N/A | New rule — allowed with conditions | — N/A for GIPS |
| Verification | Encouraged (not required) | N/A | — Different scope |
Generate an annual access person holdings and transactions certification form ready to distribute to employees.
Track KYC/CDD completion status for each investor. Save per-investor checklists below.
Simulate a typical SEC examination document request list. Track what you have and where it's stored.
| Document | Have it? | Where Stored | Last Reviewed |
|---|
AI plays the role of an SEC examiner and asks realistic questions about your compliance programme. Practice your responses.
The only GRC platform covering the full fund compliance lifecycle — from LP onboarding to portfolio exit.