Hedge Funds and RIA’s
C3 offers software and consulting packages for any size entity. Our software can be used on its own or with a variety of consulting packages.
There are 3 software packages available:
This is a basic package designed for start ups and small firms that do not require the automation or reporting tools necessary when tracking multiple entities and larger numbers of employees.
- Virtual file cabinets for all entities, investors, employees
- Automated compliance calendar
- Supervisory In-box for document approvals
- Pre-loaded dropdowns for document filing
- Customizable dropdowns
- Customized with your logo
Compliance Source Plus
Designed for larger firms, Compliance Source Plus adds automated tools and reports to the basic system. It includes:
Compliance Source and;
- Automated Employee Account Statement and Pre-clearance approval
- Pre-loaded forms and reports
- Library of commonly used forms and links to FINRA, CFTC, AML sites and others
- Multiple Supervisory In-boxes for document approvals
- Compliance task reporting tools
- Employee log in tracking
- Custom email retention and filing
Compliance Source Complete
This version adds investor communications tools creating the kind of transparency requested by most institutional and sophisticated investors.
Compliance Source Plus and;
- Custom web page or log in box for investors
- Investor document look through
- NAV/ Capital Account posting by investor
- On line suitability form for prospective investors
- Investor log in tracking
C3 offers assistance in managing ongoing compliance tasks. Leveraging the time and efficiency gains offered by the software, the C3 compliance team works with you as needed to manage the system, answer your questions and in general assist you with any compliance tasks not already handled by your law firm. Because we lead with technology, we can typically do the job in fewer hours than those who work manually. This saves you time and money.
All Broker Dealers face registration and regulatory administration issues. Record retention, continuing education and the constant need to update and get various levels of supervisory approval, leads to large volumes of paperwork, many man-hours and regulatory risk.
The C3 Broker Dealer web based compliance administration system allows you to manage these tasks in a clear, time effective and cost effective manner.
The C3 Broker Dealer software packages are:
Compliance Source BD
Designed for the smaller broker dealer, all of the necessary filing and routing tools are included, however multiple supervisory levels and automation and reporting tools are eliminated.
Compliance Source Complete BD
For the larger BD, this system adds the multiple supervisory levels necessary when dealing with more than one location or department. Additionally, certain tasks like the collection and review of monthly employee statements are automated, and multiple levels of compliance reports are available.