Omnibus Transparency

TA2000 Omnibus Transparency provides fund companies with a single platform for uniformly enforcing prospectus requirements on your complete account base, including omnibus detail positions, Matrix Level 3 accounts, and fully disclosed accounts. Our solution, coupled with our Short Term Trader and Excessive Trader features, specifically addresses SEC rule 22c-2 by providing the mechanisms to receive data from financial intermediaries, monitor trades for market timing, and determine the need for redemption fees when necessary.

From the outset, our approach to developing this solution has focused on providing a comprehensive solution for current and future compliance issues. Therefore, TA2000 Omnibus Transparency not only includes functionality that meets Rule 22c‐2 requirements, but also addresses FINRA and Industry Taskforce recommendations on breakpoints. Our solution evaluates omnibus underlying sub account trade activity using TA2000 Best Efforts Pricing, whereby the shareholder’s entire portfolio is evaluated to ensure shareholders are treated equitably.

For more information regarding TA2000 Omnibus Transparency, contact Jeff Tyner at 816-435-8933 or jatyner@dstsystems.com.