For the person who has to sign, investment compliance software is bought by an investment manager under adviser and fund rules the week the spreadsheet stops being enough: the obligations are in one tab, the evidence in a shared drive, the attestations in email, and the examiner is asking for all three at once. The software's job is to keep the compliance manual, the code of ethics attestations, the annual review and the books and records as one record with a status, and, if it is any good, to work the figures the compliance officer otherwise estimates: how many evidence items a full attestation needs and how many reviewer hours that is, how many days an audit scope takes, how many gaps to expect and what they cost to close. This page says what investment compliance software must keep, what it should compute, and where the free sheets on this site do that computation now, from the programme's own numbers, with no account.
What investment compliance software must keep
For an investment manager under adviser and fund rules, the record is the compliance manual, the code of ethics attestations, the annual review and the books and records, each with an owner, a date and a status, and each linked to the obligation it satisfies. Software that keeps those as separate lists has a shared drive with a login; software that links them can answer the examiner's question about any one of them as a lookup. The test in a demo is one screen for one obligation with its controls, evidence and last attestation on it. Attestvio Pro keeps exactly that record for a regulated small business, and the free sheets on this site work its arithmetic without any record at all.
What investment compliance software should compute
The evidence load a register puts on its reviewers and the months to a full attestation; the days an audit scope needs and the share the days available cover; the gaps an audit will find at the programme's own gap rate and what they cost to remediate; the incident hours and the case backlog's months to clear; the training seats outstanding. Each is a free sheet on this site, and for investment management regulation the one to start with is the obligations register sheet, which works the figure an investment manager under adviser and fund rules is measured on first. Software that computes those from the live record has understood the job; software that offers a report builder has not.
Why the search is investment compliance software
The words in investment compliance software are the words an investment manager under adviser and fund rules uses when the obligation has a name and the programme does not yet have a number. The name is the regulator's, linked below; the number is the programme's own, and it is the count of obligations, controls and evidence items behind investment management regulation turned into reviewer hours on the obligations register sheet and into audit days on the audit scope sheet. A programme that searches investment compliance software and comes away with those two figures has done the first day of the work, and the paid plan on this site keeps what follows: the record, with owners, dates and the attestation that closes each period.
Judging investment compliance software for a small business
Bring the sheets' figures to the demo: the register's items and hours, the audit's days, the expected gaps and their cost. Ask the vendor to show the same numbers from its demo data, ask what it costs to run for a programme of that size rather than to license, and ask how the record exports on the day the contract ends. The guide this page supports covers scoping regulatory compliance consulting from the register, which is the other half of the same decision. Attestvio Pro keeps the record at one flat price; the sheets stay free either way.
Questions people ask about investment compliance software
What does investment compliance software do?
It keeps the compliance manual, the code of ethics attestations, the annual review and the books and records as one linked record with a status, and works the figures the programme runs on: evidence load, audit days, expected gaps, incident hours, case backlog, training seats. The free sheets on this site work the figures; the paid plan keeps the record.
Does a small business need investment compliance software?
It needs the record and the arithmetic; whether it needs an enterprise product to get them depends on the programme's size. Work the obligations register sheet first; a programme whose reviewers can carry the load with a flat-price record does not need a platform.
What does investment compliance software cost?
Enterprise products quote after a call and this site publishes no figure for them. Attestvio Pro is $29 a month for the whole programme, and every sheet on the site is free with no account.