CAE Solutions Corporation’s Compliance Management System is a web-based service that combines cutting-edge technology with operational and compliance support:

• Secure and seamless application with 24x7 electronic document delivery
• Innovative and dynamic solution that assembles, extracts information, disclosures and data
• Ensures clients comply with appropriate regulations laid down by Securities and Exchange Commission (SEC)
• Compliance Monitoring System automatically looks for any regulatory changes in US financial markets
• CAE delivers processed and authenticated information in a cost-effective, timely and accurate manner
• Converts compliance knowledge into valuable products
• Delivers compliance solutions tailored specifically for our clients

Compliance Management System advantages:

• Direct extraction of vital and authenticated fund information directly from SEC EDGAR database
• Easy handling of high-value data and documents for financial services
• Publishing and distributing business critical information and documents on the click-of-mouse
• Reducing the lead-time for information gathering
• Follows current legal governance functions and practices as laid down by SEC, such as:

Securities Act of 1933

Securities Exchange Act of 1934

Investment Company Act of 1940

USA PATRIOT Act of 2001

Sarbanes-Oxley Act of 2002

Our Expertise in Financial Services is your win. Contact Us