Financial Regulatory Compliance for Investment Companies

Investment companies today are operating in an increasingly complex environment defined by regulatory expansion, market transformation, and rapid technological advancement. Through combining intuitive, purpose-built technology with knowledgeable expert support, DFIN helps firms achieve global compliance, reduce risk, and streamline workflows. DFIN is the only investment company solution provider to offer regulatory, reporting, legal, filing, and distribution solutions through one integrated platform.

Confidently Navigate Investment Company Compliance and Global Regulatory Reporting

 

Whether triggered by annual shareholder reports, prospectus updates, regulatory filings, or investor communications, investment firms need reliable, accurate reporting. With the fund and investment company financial solutions provided by DFIN, your firm can:

Mitigate Risk

Modernize outdated manual processes with intelligent, automated workflows with robust auditable processes to ensure compliant reporting across your entire regulatory program.

Improve Accuracy

Ensure precise, timely, and fully compliant disclosures — strengthening internal controls and improving overall accuracy across every stage of your reporting lifecycle.

Optimize Efficiency

By eliminating repetitive tasks, reusing shared content, and enabling straight-through processing, our solutions reduce production cycle times and minimize handoffs, allowing teams to work faster with fewer errors.

Work With Proven Industry Experts

With over 40 years of fund administration industry experience, DFIN provides you with the expertise of an established market leader. With our knowledge of regulatory requirements and change readiness, you will stay ahead of evolving global regulatory requirements.

Solutions for Fund and Investment Companies

Streamlined Financial Reports and Filings

ArcReporting® supports U.S. '40 Act, UCITS, and Hedge and Alternative Investment funds in creating and filing high-quality regulatory documents, including Tailored Shareholder Reports. Straight-through processing improves efficiency, automated proofing strengthens internal controls, and in-app training accelerates learning.

ArcReporting® supports U.S. '40 Act, UCITS, and Hedge and Alternative Investment funds in creating and filing high-quality regulatory documents, including Tailored Shareholder Reports. Straight-through processing improves efficiency, automated proofing strengthens internal controls, and in-app training accelerates learning.

Shared Content Management

ArcPro® gives you total control, with real-time, consistent, shared content updating and managerial dashboards that reduce version control issues. ArcPro streamlines the review and approval process for prospectus building and other regulatory communications, with automated in-app iXBRL and highly stylized compliance output.

ArcPro® gives you total control, with real-time, consistent, shared content updating and managerial dashboards that reduce version control issues. ArcPro streamlines the review and approval process for prospectus building and other regulatory communications, with automated in-app iXBRL and highly stylized compliance output.

Flexible Financial Reporting

ArcFlex is a flexible, cloud-based reporting solution purpose-built for Alternative Investments, Private Equity Funds, and Hedge Fund companies and their rapidly changing regulatory needs. It streamlines the creation and editing of financial disclosures while also delivering accurate, audit-ready reports through a centralized, collaborative workspace. ArcFlex is the modern way to simplify complexity, strengthen controls, and stay ahead of global regulatory demands.

ArcFlex is a flexible, cloud-based reporting solution purpose-built for Alternative Investments, Private Equity Funds, and Hedge Fund companies and their rapidly changing regulatory needs. It streamlines the creation and editing of financial disclosures while also delivering accurate, audit-ready reports through a centralized, collaborative workspace. ArcFlex is the modern way to simplify complexity, strengthen controls, and stay ahead of global regulatory demands.

Seamless Compliance Management

ArcDigital® supports all the key functions required for digital content delivery, including a centralized document repository, investor financial compliance material tracking, and digital asset management all in a one-stop ecosystem. Through Total Compliance Management, Web Hosting, and eDelivery, ArcDigital ensures quality content delivery, creating a start-to-finish, digital-first engagement experience for institutional investor transparency.

ArcDigital® supports all the key functions required for digital content delivery, including a centralized document repository, investor financial compliance material tracking, and digital asset management all in a one-stop ecosystem. Through Total Compliance Management, Web Hosting, and eDelivery, ArcDigital ensures quality content delivery, creating a start-to-finish, digital-first engagement experience for institutional investor transparency.

Simplified Global Reporting

DFIN’s regulatory reporting software solution ingests data, performs calculations, and produces compliant reports. With ArcRegulatory®, you stay ahead of regulations around the world through multi-jurisdictional reporting while mitigating risks and driving efficiencies for your organization — giving you the transparency, consistency, and confidence you need to deliver.

DFIN’s regulatory reporting software solution ingests data, performs calculations, and produces compliant reports. With ArcRegulatory®, you stay ahead of regulations around the world through multi-jurisdictional reporting while mitigating risks and driving efficiencies for your organization — giving you the transparency, consistency, and confidence you need to deliver.

Traditional Services

Whether you select self-service with our regulatory filing software, managed service, or a hybrid solution, DFIN tailors our investor services to meet your company’s unique needs. DFIN helps you produce accurate disclosures so you can avoid errors and costly reworks. We also help you manage and ensure on-time filing and distribution of shareholder communications, cost-efficiently produce and distribute shareholder materials, and ensure a frictionless service experience during peak periods.

Whether you select self-service with our regulatory filing software, managed service, or a hybrid solution, DFIN tailors our investor services to meet your company’s unique needs. DFIN helps you produce accurate disclosures so you can avoid errors and costly reworks. We also help you manage and ensure on-time filing and distribution of shareholder communications, cost-efficiently produce and distribute shareholder materials, and ensure a frictionless service experience during peak periods.

Why Investment Companies Choose DFIN

There are many companies out there providing regulatory reporting support, but more investment banking firms choose DFIN because we bring decades of regulatory experience to the table. Our integrated regulatory reporting system is scalable to support multiple fund structures, with automation and workflow optimization to ensure efficiency and accuracy.

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