Fund Reporting and Compliance
The New Compliance Environment
The Obama Administration has unveiled the most wide
sweeping plan to overhaul the U.S. financial system
ever conceived. The proposed plan entitled "Financial
Regulatory Reform – A New Foundation" places the
asset management industry squarely within its focus.
The President’s Financial Regulatory Reform package
will impose a host of new regulatory requirements
upon Fund Managers and has a substantial impact
upon all industry participants including service
providers.
Key Features
•
•
•
•
•
•
•
•
•
•
•
•
Branding - Access your logo-branded
virtual room from within your website
Secure Access - Provide a secure, 24x7
web-portal for access to your confidential
information
Security - Control access based on each
LP's unique requirements and your comfort
with data sensitivity
Cost Efficiency - Reduce the cost of
document production and delivery by
eliminating the need for paper mailings
Update Notifications - Use Email Alerts to
automate document delivery
Professionalism - Avoid "fire drills" when
investor correspondence is due
US-Based Servers - All data is hosted in a
United States based facility.
Flexibility - Allow multiple users to login
under a single LP account
Ease of Use - Enable seamless upload of
data from portfolio companies
Data Encryption - Secure data using SSL
Data Encryption Security
Efficiency - Increase the efficiency of your
Investor Relations team
Compliance Reports - Produce Reports to
view all activity within the site
In the aftermath of the financial crisis and a string of
frauds, the SEC and other regulators are diligently
seeking to reestablish credibility. Consequently,
regulatory inspections and enforcement actions shall
continue to intensify. In particular, the SEC’s new
budget clearly demonstrates their agenda to "beef up"
inspections and enforcement with significant increases
to each division. Likewise, many State Attorneys
Generals continue to expand their jurisdiction, noting
the inadequacies of the current federal regulatory
framework.
Fund Reporting to your LPs &
Investors… Efficient & Compliant
Use our V-Rooms™ Virtual Data Rooms to assemble,
organize and filter information from your portfolio
companies, and then securely deliver reports to your
Limited Partners and Investors.
Create your central, secure online repository for new
and historical fund information and provide your
investors with around-the-clock, worldwide access to
information. Respond to requests from investors by
directing them to the appropriate section of your Virtual
Data Room. Rather than printing, copying, collating and
mailing investor reports, you can simply provide
notification of new information via email alerts. Most
importantly, you are able to then confirm receipt of the
information using our program’s compliance /tracking
reports.
V-Rooms™ Virtual Data Rooms powered by Due Diligence Online, LLC www.v‐rooms.com 800.731.6379 Easy Administration of Your Virtual Data Room
V-Rooms™ Virtual Data Rooms provides an economical regulatory compliance system that allows
administrators of private equity, hedge and venture capital funds to assemble, organize and filter
information from your portfolio companies, and then securely deliver documents and reports to
Limited Partners and Investors via your branded virtual data room accessible from within your
company’s website.
LLC)
Portfolio Portal
The Portfolio Portal creates a secure Internet location for
Portfolio Companies to upload confidential information.
The Portfolio Portal allows underlying portfolio companies
to log in through your website and upload static
documents, such as PDF's, Word, PowerPoint and Excel
files, as well as dynamic Audio/Video files. As part of the
standard features of the Portfolio Portal you are able to
replicate an organizational folder structure within minutes
from a previously established virtual room, tremendously
saving set-up time when a new portfolio company is
added.
Organize and Filter Information
Investor contact information including such items as email
address, location, phone numbers, etc. may be entered
directly into the user profile. You are able to organize the
information that has been uploaded by the portfolio
companies and then filter that information for distribution to
the Limited Partners and Investors. This is easily
accomplished by selecting or modifying the appropriate access level of the users, to allow for the review of
more or less information. Our system is 100% configurable by our clients, and offers flexible security
architecture with multi-level approval and lock-down functionality.
Limited Partner Portal
A secure Internet LP Portal is established for your Limited Partners to view confidential documents and
files. Also, those LPs may upload confidential information accessible only by the Fund Administrators. This
compliant, two-way communication channel provides an alternative to the risky practice of emailing
sensitive information back and forth. Virtually any information including fund quarterly summaries, fund
memorandum, and other types of documents can be accessed and downloaded. This powerful ability
eliminates the need to email, fax or courier documents to investors and manages documents made
available for LP consumption with the advantages of a SQL Server database repository. Compliance
reporting is assured.
V-Rooms™ Virtual Data Rooms provides an economical Internet-based reporting solution that can
be up and running within hours, without any additional investments in hardware or software.
V-Rooms™ Virtual Data Rooms powered by Due Diligence Online, LLC www.v‐rooms.com 800.731.6379