Compliance Oversight

Market timing and best pricing regulations demand a new level of compliance oversight - and a new set of questions for mutual funds to consider:

• Are your oversight procedures under increased scrutiny?
• Are you and your financial intermediaries prepared for greater oversight obligations, such as SEC Rule 22c-2?
• Do you have the tools in place to ensure all fund activity complies with prospectus rules?

To help you address these challenges, DST offers TA2000 Omnibus Transparency™. This solution, integrated with the TA2000 platform, provides you with a single access point for uniformly enforcing prospectus rules on the universe of accounts held in your funds, including omnibus detail and Level 3 positions as well as fully disclosed accounts.

With the wealth of shareholder information and rules for more than 290 funds already in TA2000, you can incorporate the new feeds from intermediaries into standard, daily processes for continuous monitoring. Gain timely oversight with TA2000 Omnibus Transparency.

For more on Mutual Fund Shareholder Recordkeeping, contact mjtobin@dstsystems.com.