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Compliance Suite™

Compliance SuiteTM platform, is a powerful and dynamic technology solution that assists in the preparation of Form PF, AIFMD, and other regulatory filing requirements while also featuring robust performance monitoring, pipeline, and relationship tracking needs of the Asset Management industry. This intuitive, easy-to-use and scalable solution provides the flexibility that is essential for today’s rapidly evolving business and regulatory landscape.

Compliance Suite’s user-defined architecture allows the system to be extended to other value added uses beyond the Form PF and AIFMD preparation process. Some common applications include:

  • Assists in the preparation of required regulatory filings (e.g., Form PF, ADV, etc.)
  • Fund/portfolio performance tracking and compliance
  • Data repository for internal and investor reporting information
  • Pipeline tracking
  • Consolidation/integration tool for multiple data sources
  • Client relationship tracking

Compliance SuiteTM key functionality:

  • Single data repository tool to automate the collection, storage, calculation and management of the data required for preparing regulatory filings and providing consistent reporting
  • E-filings prepared and uploaded to IARD and other electronic filing system from within the tool
  • A customizable filing status dashboard to monitor the overall status as well as the status by section or responsibility
  • Allows the business user to create the system structure, administer data, and control visual presentation, all through an easy-to-use interface
  • An end-to-end workflow management solution
  • Enables multiple user-specific perspectives on a common data set
  • Generates ad-hoc and standardized data queries for reporting without requiring code development effort and changes to the application
  • Includes user customizable dashboard and fund performance charting functionality
  • Allows business alerts and early warning triggers to be configured and e-mailed to users
  • Incorporates advanced data integration capabilities that reduces time-consuming and error-prone manual data entry along with a data validation module

Compliance SuiteTM detailed features:

  • Flexible, user-controlled data architecture that can be extended to adapt to changing internal and regulatory reporting requirements as well as surveillance and analytical needs to assist in reporting consistency
  • A configurable workflow management solution to potentially simplify and reduce the time and cost involved in the filing preparation process which positions firms to respond to future regulatory requirements through an in-house automated process
  • A comparison tool to highlight numeric changes in reports from quarter to quarter
  • Tracking of user-defined data elements to meet your data maintenance and reporting needs
  • Ability to view a data snapshot or time series the historical data
  • Support for multiple public and user-specific data views and dashboards with sophisticated chart and graphing capabilities
  • User-defined ad hoc queries and trend lines that can be saved as templates for improved analysis
  • Centralization and consolidation of information from disparate sources into a common, intuitive structure; ideal for performance data or cross-organization analysis that provides a platform for consistent reporting
  • Activity tracking and reminders with e-mail notification that can be assigned to individuals or user-group roles
  • User-defined calculations to confirm triggers and statistics and potentially improve reporting efficiency
  • Standardized structure and shared calculation templates with override capabilities
  • Single database that retains history with robust audit logging capabilities for both data and structural changes
  • Automatic relational data drill-down functionality
  • Storage of relevant documentation (files) in database
  • Data import capabilities from multiple sources including Microsoft Excel, text files, internal databases, or automated integration with third party data providers using custom add-ins
  • Data export capabilities to other applications (Microsoft Excel, Microsoft Word, etc.) as well as the ability to expose data query results for consumption by other systems and solutions
  • Robust security and user access control (including view access of data)

Compliance SuiteTM utilizes state-of-the-art technology, including:

  • Three-tier architecture based on Microsoft’s ASP.NET AJAX platform and Microsoft .NET 4.0 Framework
  • An advanced browser-based user interface built on user-defined data structures and screen layouts, utilizing our proprietary application framework
  • SQL Server 2005 (or higher) database
  • Fully configurable roles/permissions based security setup to control user access
  • Robust security features, including native support for various user authentication schemes, such as Active Directory, Windows Integrated, and Basic/Digest
  • Extensible application architecture to support integration with third party solutions to extend the application’s functionality

For more information about this product, or to arrange a demonstration, please contact:

Mark Scherer
Deloitte & Touche LLP
+1 212 436 2842 

Jason Johnson
Senior Manager
Deloitte & Touche LLP
+1 303 294 4228

Chris Pruszko
Senior Manager
Deloitte & Touche Projects SARL
+44 20 7303 7145

Compliance Suite™ is a trademark of Deloitte Development LLC, a subsidiary of Deloitte LLP.

As used in this document, “Deloitte” means Deloitte & Touche LLP, a subsidiary of Deloitte LLP. Please see for a detailed description of the legal structure of Deloitte LLP and its subsidiaries. Certain services may not be available to attest clients under the rules and regulations of public accounting.


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