From scattered inboxes to a live system of record, in five steps.

Ultimus links through a direct API connection. Other administrators come in by email and CSV, and files from your index calculation agent map per fund. Daily NAV, shares, holdings, and creation/redemption data start flowing into the record.

• Ultimus direct API, per firm
• Other administrators via email + CSV
• Index calculation agent files mapped per fund

Grant read-only access to Gmail or Microsoft 365. From then on, every fund document that lands in your inbox is auto-classified into the books-and-records vault under the correct retention class, integrity-checked with sha256, and tagged to its obligation and message of record.

• Read-only Gmail or Microsoft 365 scopes
• Auto-classification into nine retention categories
• sha256 integrity + confidentiality flags

ETFcomply instantiates the obligation catalog against your active funds and fiscal dates. Fund-level rules fan out per fund; trust and adviser rules seed once per firm. Deadlines compute from each clock, roll forward off market holidays, and materialize 18 months out.

• Fund-level rules per fund; trust rules once
• Deadlines computed and business-day rolled
• Instances materialized 18 months ahead

Lead-time alerts fire the tightest bucket each obligation qualifies for, and an overdue alert follows if a due date passes with the item still open. The monitoring checks run on their schedule, each writing a full snapshot as its own auditable record.

• Lead-time and overdue deadline alerts
• Daily diversification, names-rule, and 6c-11 checks
• Every check snapshot kept as evidence

Mark an obligation complete by linking evidence or recording an explicit override note. When an examiner request or a board cycle arrives, export the matching bundle with its hashed manifest. The audit trail behind it is append-only.

• Evidence-gated completion + waiver rationale
• Five examiner export bundles
• Append-only, tamper-evident trail