The system of record for internal ETF compliance
Your compliance calendar lives in a spreadsheet. Your evidence lives in your inbox.
ETFcomply brings every filing, rule, and control into one organized system of record. It ingests from your fund administrator, files your documents into a books-and-records vault, and tracks each deadline against the rule that drives it.
Aggregate · Monitor · Prove
Open Obligations · 14
On track| Obligation | Cite | Deadline |
|---|---|---|
| Form N-PORT | Rule 30b1-9 | Due 5d |
| §15(c) Advisory Contract Renewal | §15(c) | Due 34d |
| Form N-PX | Rule 30b1-4 | Due 51d |
| 38a-1 Annual Compliance Review | Rule 38a-1 | Due 62d |
| Form 24F-2 | Rule 24f-2 | Due 88d |
What it does
Aggregate, monitor, prove.
The whole job of an internal ETF compliance function, held in one place instead of across a dozen inboxes and tabs.
Aggregate
One source of truth
Data flows in from your fund administrator and index calculation agent. Every fund document is classified and filed into a retention-aware vault, integrity-checked with sha256.
Monitor
Rules that watch themselves
Diversification, the names-rule 80% test, premium/discount persistence, missing documents, and the 13F threshold are checked on a schedule, with lead-time alerts on every deadline.
Prove
Examiner-ready on demand
Completion is evidence-gated and the audit trail is append-only. Canned examiner bundles export with hashed manifests when the request arrives.
Compliance calendar
25 seeded obligations, each tied to its rule.
The calendar arrives populated. Deadlines are computed from your fiscal year end and board-meeting dates, then business-day rolled, with lead-time alerts firing the tightest bucket an obligation qualifies for.
Selected obligations in the catalog
| Obligation | Cite | Cadence |
|---|---|---|
| Form N-PORT | Rule 30b1-9 | Quarterly + 60d |
| Form N-CEN | Rule 30a-1 | FYE + 75d |
| Annual Prospectus (485(b)) | Rule 485(b) | FYE + ~120d |
| Tailored Shareholder Report | Rule 30e-1 | Semiannual |
| Form N-PX | Rule 30b1-4 | Aug 31 |
| Form 24F-2 | Rule 24f-2 | FYE + 90d |
| §15(c) Contract Renewal | §15(c) | Board cycle · 120d lead |
| 17j-1 Access Persons | Rule 17j-1 | Quarterly + 30d |
| 38a-1 Annual Review | Rule 38a-1 | Annual |
| 2a-5 Valuation Report | Rule 2a-5 | Quarterly |
| RIC Diversification | IRC §851(b)(3) | Fiscal quarter |
| Names Rule 80% Test | Rule 35d-1 | Quarterly |
Plus N-PX, excise §4982, Reg S-P, N-RN and more
Automated monitoring
The controls run on a schedule.
Each check writes a full computed snapshot as its own auditable record and raises an alert when it crosses into watch or breach territory.
Daily checks · as of prior close
| Check | Cite | Value | State |
|---|---|---|---|
| RIC Diversification | IRC §851(b)(3) | 41.2% / 50% | Pass |
| Names Rule 80% test | Rule 35d-1 | 83.6% | Pass |
| Premium/Discount persistence | Rule 6c-11 | 5 days | Watch |
| Missing document detection | Rule 31a-1 | 0 gaps | Pass |
| 13F $100M threshold | §13(f) | $92.4M | Near |
Books & records · 2,481 documents
sha256 verified| Document | Category | Retention |
|---|---|---|
| Board minutes — Q2 | Board & 15(c) | Permanent |
| N-PORT filing package | Regulatory Filings | 6 years |
| Index constituents file | Index & Benchmark | 6 years |
| Daily holdings export | Daily Ops | 6 years |
Capabilities
Everything an internal ETF compliance function tracks.
Vault
Books-and-records vault
Every fund document auto-classified into retention classes under Rules 31a-1 and 31a-2, with sha256 integrity and confidentiality flags.
Ingest
Administrator + index feeds
Ultimus connects via direct API; other administrators arrive by email and CSV. Index calculation agent files are mapped per fund.
Email-linked mapping
Connect Gmail or Microsoft 365 read-only and every fund document lands in the right place, tagged to its obligation and message of record.
13F
Single-click 13F
An EDGAR-shaped XML package with CUSIP and official-list validation, assembled and ready to file when the threshold triggers.
Exports
Examiner bundles
Five canned exports, from the exam opener to the 15(c) board pack, each with a hashed manifest and books-and-records coverage by rule cite.
Audit
Append-only trail
A tamper-evident record of every action, plus owner, member, and read-only viewer seats for the trust CCO or an auditor.
When the exam letter arrives
SEC calls Friday? You export by Monday.
An examiner request is a scramble when your evidence is scattered. ETFcomply keeps the books-and-records organized as you go, so the response is an export, not an archaeology project. Each bundle ships with a hashed manifest and flags any coverage gap by rule cite before you send it.
- Exam opener — the standard first-request package
- Books & records by rule cite, with coverage gaps surfaced
- 15(c) board pack for the advisory-contract file
- Filing history and portfolio evidence bundles
Examiner bundles · hashed manifest
How it works
Three steps to a live system of record.
01
Connect your administrator
Link Ultimus by API, or bring other administrators in by email and CSV. Your index calculation agent files map per fund.
02
Link your email, read-only
Grant read-only Gmail or Microsoft 365 access. Documents auto-classify into the vault with the right retention class.
03
The calendar seeds itself
Obligations instantiate against your funds and fiscal dates. Deadlines compute, alerts arm, and the monitoring checks begin.
Bring order to the filing calendar.
Design partner slots are open. We onboard you by hand, connect your administrator, and seed the calendar against your funds.