Proactive Compliance Monitoring Across Your Managers and Subadvisors
Automate attestations, monitor regulatory filings in real time, and maintain a complete, regulator-ready record of every review — before issues surface in an audit.
Data Collection
Automate Attestations and Monitoring
Compliance obligations don’t wait for quarterly reviews. Give your team a structured, automated workflow for managing attestations, monitoring regulatory changes, and maintaining a defensible record of every review — without relying on calendar reminders and email chains.
- Build automated attestation workflows with configurable schedules and escalation rules
- Assign compliance review tasks to named team members with deadline tracking and reminders
- Monitor Form ADV filings for regulatory changes across your entire manager universe in real time
- Maintain a complete, regulator-ready record of every review, approval, and exception noted
AI & Analytics
Surface and Document Risks
Compliance is most valuable when it’s proactive. Integrate regulatory data, manager DDQ responses, and AI-assisted risk analysis to give your compliance team early warning on material changes — before they surface in an audit or investor inquiry.
- Use AI-assisted document review to identify inconsistencies in policies, outdated disclosures, and governance
- Generate compliance summary reports for boards, senior management, and external auditors
- Integrate compliance data with your internal risk data warehouse via API
Workflow
Create Pitch Perfect Reports
Create branded reporting for internal and external stakeholders.
- Tear sheets, dashboards, advisor materials to board reporting – use your data and diligence on DiligenceVault to create these consistently in just a few clicks.
Related Insights
CASE STUDY: How an Insurance Subadvisory Platform Executes on Due Diligence and Compliance Framework
Every year, the compliance team at this global insurance company has to send out an annual 15(c) due diligence questionnaire to its 50+ sub-advisers. Using MS Word and Excel, countless hours were spent by both the insurance team and their
Explore other use cases
Investment Compliance and Subadvisor Oversight
Automate attestations, reviews, and risk monitoring to maintain proactive compliance and transparent stakeholder reporting.
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Manager Research
Digitize and centralize manager sourcing, evaluation, and monitoring to accelerate investment decisions and streamline IC memo creation.
Operational Due Diligence
Digitally transform due diligence with automated DDQs, document review, risk analytics, and regulatory data integration for scalable oversight.
Record Keeper Diligence
Streamline recordkeeper oversight with structured data collection, benchmarking, and ongoing monitoring workflows.
Responsible Investing
Collect and track ESG data across your manager universe with standardized frameworks.
AI-Powered RFP/DDQ and Investor Reporting Automation
Auto-draft responses to RFPs and DDQs from your approved content library using DV Assist.
Investor Letters and Database Management
Streamline periodic investor reporting with automated data pulls and templated outputs.
Blaze Data Bridge
Connect and sync data across systems with seamless integrations built for asset management workflows.
Form ADV Filings
Access and analyze Form ADV filings to support manager research and regulatory compliance.
Service Provider Diligence
Build a repeatable, scalable oversight framework for tracking service provider relationships and tri-party confirmations.