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U.S. Commodity Futures Trading Commission (CFTC)

Form PF, ADV, CPO-PQR & CTA-PR Solution

Internal Revenue Service (IRS)

Foreign Account Tax Compliance Act (FATCA) Solution

U.S. Department of the Treasury

Legal Entity Identifier (LEI) Solution

U.S. Securities and Exchange Commission (SEC)

Sarbanes-Oxley (SOX) Solution

Internet Proxy Material (IPM) Solution

Compliance Memo & Notices Solution

Customer Complains Solution

Financial Crimes Enforcement Network (FinCEN)

Customer ID Program (CIP) Solution

Suspicious Activity Reporting (SAR) Solution

National Credit Union Administration (NCUA)

Suspicious Activity Reporting (SAR) Solution

Financial Industry Regulatory Authority (FINRA)

Anti-Money Laundering (AML) Solution

U.S. Department of Homeland Security

Nationwide Suspicious Activity Reporting (SAR) Initiative - NATSARIN Solution

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Focus: Form PF Solution   

Key Features & Benefits More Information Latest Form PF News
  • Form PF reporting - including a draft for review and final formats for review and submission via XML.

  • Data Warehouse to support multiple data source and data formats.

  • Document Assumptions and Audit trail for Underlying data relating to each form.

  • Electronic file form PF to PFRD. File form CPO-PQR and form CTA-PR to NFA.

  • Reporting process that minimizes your operational burden, while the investment manager maintains fund data ownership and filing responsibility.

  • Reporting solutions that leverage best in class solutions and infrastructure.

Form PF+


  Banks | Brokerages | Insurance | Hedge Funds | Credit Unions | Money Service Business | Mortgage Brokers | Casinos | Private Equity Funds | Real Estate Funds | Venture Capital Funds | Liquidity Funds | Securitized Asset Funds | Futures Merchants | Thrifts | Mortgage Companies | Mortgage Lenders | Mortgage Originators| Mutual Funds | Card Clubs
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