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Omnibus Transparency

One Platform.

Our Omnibus Transparency solution allows you to enforce prospectus requirements across all types of shareholders, including:

  • Sub-accounts from third-party distribution platforms
  • Matrix Level 3 and fully disclosed accounts from transfer agency systems

Omnibus Transparency is a comprehensive solution for both current and future business and compliance needs. It’s existing functionality:

  • Meets the requirements of SEC Rule 22c-2
  • Follows FINRA Breakpoint Taskforce recommendations on best pricing
  • Features ad hoc reporting and analytical capabilities that enhance funds’ ability to mine the aggregated data

 The capabilities of Omnibus Transparency include:

  • Rights of accumulation: positioning funds to ensure shareholders receive the best possible breakpoint
  • Trade monitoring: applying prospectus rules on short-term and excessive trading
  • Advanced analytics: offering the level of complexity necessary to manage and oversee relationships with sub-accounting financial intermediaries


Discover a comprehensive solution to breakpoint challenges. Omnibus Transparency is a single, comprehensive approach to ensure that shareholders receive the best possible breakpoint based on their eligible portfolio. It is the answer to a process that often includes aggregating valuations from the transfer agency and multiple third-party-distributed positions. Incorporating the recommendations of the Industry Taskforce on Breakpoints, this capability combines Omnibus Transparency with a new ability to provide financial intermediaries with a “dealer return file.” Distribution partners can therefore ensure best pricing at the point of sale.


Make it easier to enforce market-timing policies. Omnibus Transparency applies prospectus rules on short-term and excessive trading equitably across accounts from:

  • Subaccounting feeds
  • Supermarket portals
  • NSCC’s Standardized Data Reporting service

Our solution is fully integrated with the fund options, reporting and workflows of our core transfer agency platform. As a single, comprehensive solution for aggregating and analyzing the data necessary to enforce policies designed to prevent market timing, Omnibus Transparency ensures that funds meet the requirements of SEC Rule 22c-2.


Take in the full view. From complex analyses designed to monitor abnormal or frequent trading activity to summary status reporting across distribution partners, Omnibus Transparency’s advanced analytics can provide senior management with the big picture. Omnibus Transparency offers funds advanced analytics with the level of complexity necessary to manage and oversee relationships with their subaccounting financial intermediaries.




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