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CAE Solutions Corporationís Compliance Management System is a web-based service that combines cutting-edge technology with operational and compliance support:

  • Secure and seamless application with 24x7 electronic document delivery
  • Innovative and dynamic solution that assembles, extracts information, disclosures and data
  • Ensures clients comply with appropriate regulations laid down by Securities and Exchange Commission (SEC)
  • Compliance Monitoring System automatically looks for any regulatory changes in US financial markets
  • CAE delivers processed and authenticated information in a cost-effective, timely and accurate manner
    • Converts compliance knowledge into valuable products
    • Delivers compliance solutions tailored specifically for our clients

Compliance Management System advantages:

  • Direct extraction of vital and authenticated fund information directly from SEC EDGAR database
  • Easy handling of high-value data and documents for financial services
  • Publishing and distributing business critical information and documents on the click-of-mouse
  • Reducing the lead-time for information gathering
  • Follows current legal governance functions and practices as laid down by SEC, such as:
    Securities Act of 1933
    Securities Exchange Act of 1934
    Investment Company Act of 1940
    USA PATRIOT Act of 2001
    Sarbanes-Oxley Act of 2002

Our Expertise in Financial Services is your win. Contact Us

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