Blue Sky Solution™

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Blue Sky Compliance Simplified 

Our Blue Sky Solution™ combines a robust software platform with Blue Sky compliance expertise for a solution that delivers ease-of-use and significant increases in efficiency to help you comply with state regulations and protect against securities fraud. 

Benefits

  • Start off with sound data. On-boarding the Blue Sky Solution  is easy. Our industry experts pre-load your data into our platform, review it for inconsistencies, alert you to potential compliance issues and work with you to remedy them.
  • Closely monitor and manage sales activities. The platform is easy-to-use and designed to have your team up and running quickly. Our online review and approval process provides controls that help ensure Blue Sky compliance and manage risk.
  • Minimize expenses and increase revenue sooner. Complete requests for new product filings in hours rather than weeks and file electronically where permitted.

Our clients experience a swift and measurable return on investment.

Trusted in the most demanding environments

Our Blue Sky Solution™ has been designed to meet the needs of transaction-intensive environments such as compliance and legal departments at fund administrators and mutual fund sponsors as well as operations departments at transfer agent service providers.

Backed by a powerful database and expert compliance professionals our solution delivers increased accuracy, high productivity rates and lower staffing requirements making it the system of choice for the largest mutual fund companies and third-party administrators in the country.

Our Blue Sky Solution™ system efficiently and accurately completes all required state-by-state filing responsibilities and supports sales data-feed integration from unlimited data providers.

Features

With the Blue Sky Solution™ System you will experience:

Accuracy From Day One: Our solution arrives complete with all your fund information, state permit data, historical sales data, and state-by-state filing requirements. Our experts audit your data, highlight any issues, and repair or replace any required information before installation.

Easy Automation: The Blue Sky Solution™ imports data files from a firm’s transfer agent, broker-dealer and other record-keeping systems for automated sales monitoring and reporting and features graphical and numerical data analysis tools to facilitate identification of sales issues.

Tighter Oversight and Transparency: Online review and approval processes provide management controls, promote accuracy and ensure compliance with internal policies and procedures. Exception and warning reports support timely compliance with reporting and filing deadlines.

Minimized Expenses and Controls Costs: The system stores daily sales information at the fund/state/data provider level. Firms can quickly identify large daily sales that may be eligible for transactional exemptions and exclude them from reporting and sales fees resulting in fund expense reduction.

Expedited Electronic Filing: Requests for new product filings can be addressed within hours rather than days or weeks. Blue Sky Solution™ enables filers to transmit notice filings electronically to states offering electronic filing programs. ACH payments are easy with the built-in export feature that creates a payment file in NACHA compliant format.

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