Fund and investment managers
Compliance monitoring software for fund managers
You run a regulated management company, possibly several, and a small compliance team answers for all of them. Kompendra keeps each entity's obligations, plan and evidence separate, and your view of them in one place.
What gets in your way
- Each regulated entity has its own licence, its own obligations and its own monitoring plan, usually in separate files.
- Investors' due diligence questionnaires ask for evidence of your compliance framework, and you assemble it again each time.
- Board reporting depends on figures that were copied by hand from the plan and the issues log.
The modules that matter most
Registers
Policy library with read-and-attest, control library, and findings and actions across every source.
Monitoring
One plan per entity and period, with reminders, escalation and a signed report.
Evidence
Evidence you can hand to an auditor, with hashes that prove it has not changed.
Compendium
Applicability per entity and per licence, with the reason recorded.
A fund manager's quarter in Kompendra
Structure. Your group is set up once: each regulated legal entity, and each licence it holds. Every record belongs to one entity, and people get roles per entity. The Compliance team sees everything. A portfolio manager sees the tests they own.
Planning. Each entity has its own monitoring plan for the year. Tests shared in substance, such as a quarterly review of personal account dealing, are set up per entity so each has its own evidence and result.
During the quarter. Policies that need staff attestation are sent to the named roles, and completion is tracked per person. Test owners record results and attach evidence. An external audit finding is logged in the same tracker as findings from monitoring, with an owner and a deadline.
Board reporting. The dashboard shows tests due, overdue items, open findings by severity and coverage gaps for each entity, as at any date you choose. Board members can have read-only access. Your auditor can be given time-boxed, read-only access for the audit.
Regulator coverage. VARA content is loaded first. FSRA and DFSA content follows in the same structure. TODO(Miles): confirm FSRA and DFSA content availability before launch