Our ComplianceAdvantage program provides our clients with comprehensive compliance services, guidance, and one-on-one support. Based on your business needs, the program is designed to:

§         Assist SEI clients at all stages of their compliance efforts - from initial planning through final implementation - with an emphasis on customization of compliance programs to address unique aspects of our clients' businesses in order to meet the spirit and letter of the latest SEC rules and guidance.

§         Identify best practices in compliance policies, procedures, testing, reporting, and recordkeeping.

§         Analyze how regulations will directly and indirectly affect investment management organizations across the spectrum.

ComplianceAdvantage brings together a variety of resources within and outside of SEI that have educated views and experience on how to effectively and efficiently facilitate compliance efforts. Services provided through our program include:

§          A continually updated “insider's” view of pending and upcoming regulatory actions provided through a matrix that tracks regulatory developments, an action calendar and an ongoing series of web seminars.

§         Checklists and timelines of steps investment companies should be taking to meet critical compliance deadlines and create an ongoing culture of compliance.

§        Suggestions on evolving best practices concerning compliance program design and implementation and monitoring as it affects all aspects of business operations.

§         Ongoing support from SEI's Investment Manager Services' Chief Compliance Officer (CCO) and his staff to assist with the identification of areas of compliance risk and the development of customized compliance policies, procedures and testing plans.

§         Operating solutions that facilitate compliance efforts, such as eBoardroom, AdvisorAlertTM, SEI Manager Dashboard and MARS (Marketing Automated Review System).

§         Efficient access to the industry's best thinking on regulatory issues, provided through model programs, guidelines, and policy positions put forward by leading experts and industry groups.

§        A forum for dialogue on compliance and best practices issues among a network of SEI clients and other industry experts through ongoing web seminars and conferences.