Regulatory Compliance Services

Minimize the strain of investment regulations on your firm

Today’s economic and regulatory climate has placed a tremendous burden on management, directors, and regulatory teams to provide increased financial reporting and transparency to both regulators and investors.

Investment managers and individuals must be aware of current and changing regulatory reporting and investment regulations. SEI’s regulatory services platform helps you stay ahead of the curve to avoid risk. 

Our regulatory services help you meet these reporting and compliance requirements without building an in-house regulatory reporting solution. You’ll benefit from our unique data warehouse approach, our team of industry experts and the ability to track it all from our single comprehensive platform.  

We offer regulatory and compliance solutions for:  

Pooled vehicles – Alternative vehicles – Separate accounts – Sovereign wealth funds – Family offices – and more

Regulatory Services for Investment Managers

Our regulatory services platform provides global regulatory services for investment managers. Learn more about our approach.

Regulatory reporting

Outsourced regulatory reporting services supported by a centralized compliance team, as well as an integrated regulatory services platform that facilitates the scoping, data consolidation/aggregation, calculations, review, approval and filing process, for reports such as:

• Form PF
• Form CPO-PQR
• AIFMD Annex IV
• Global Shareholder Disclosure
• Monitoring for CFTC and Exchange Position Limits
• RIC Reporting (N-PORT, N-CEN, N-MFP, N-Q)
• RIA Reporting (13F, 13H, 13D/G)

Regulatory services for investor compliance 

Outsourced investor regulatory compliance services related to investor due diligence, anti-money laundering and activity monitoring including comprehensive oversight reporting on data and process transparency:

• FATCA
• UK CDOT
• OECD CRS

Regulatory services for firm compliance

Download Regulatory services for firm compliance

Services to support your firm-wide compliance program, including a global regulation library, news event feeds, a comprehensive compliance management tool, as well as best practice reviews and recommendations:

• Regulation event news feed
• Post-trade portfolio compliance monitoring
• Regulatory compliance management system
  • Code of ethics module
  • Trade compliance module

For more details about our regulatory services for investment managers, download our Regulatory Overview