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KPMG Regulatory Compliance Management from KPMG
A technology-enabled platform supporting venture capital and fund managers with regulatory horizon scanning, compliance monitoring, reporting, and controls testing tailored to multiple jurisdictions.
Product analysis by function
Regulatory Compliance Tools for Fund Management
Solutions for managing SEC filings, KYC/AML requirements, GDPR compliance, and other regulatory obligations specific to investment firms.
More Regulatory Compliance Tools
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Regulatory Reporting
(6 Yes /6 Known /12 Possible features)
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Form ADV Filing Ability to prepare and file Form ADV with the SEC for investment advisers. |
KPMG's platform description references support for regulatory filing, including management of reporting and controls monitoring, which includes the ability to file and prepare Form ADV for investment advisers. | |
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Form PF Support Capability to complete and submit Form PF for private fund advisers. |
Product noted for comprehensive regulatory reporting functionality, which typically encompasses Form PF for private fund advisers. KPMG's support for hedge and private funds further substantiates this coverage. | |
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Form D Filing Support for filing Form D notices for exempt offerings. |
No information available | |
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Blue Sky Filing Functionality to handle state-level securities filings. |
No information available | |
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AIFMD Reporting Support for Alternative Investment Fund Managers Directive reporting for EU compliance. |
The platform states it covers compliance reporting for multiple jurisdictions including the EU, which implies AIFMD support. | |
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Regulatory Filing Frequency Number of regulatory filing types supported by the system. |
No information available | |
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Cross-Border Reporting Ability to handle reporting requirements across multiple jurisdictions. |
Platform supports multi-jurisdictional monitoring, so cross-border regulatory reporting is covered. | |
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Report Template Library Availability of pre-built templates for common regulatory reports. |
No information available | |
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Automatic Deadline Tracking System monitors and alerts users to upcoming regulatory filing deadlines. |
KPMG advertises deadline monitoring and regulatory calendar tracking in its compliance solution. | |
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Historical Filing Repository Storage capacity for past regulatory filings for reference and audit purposes. |
No information available | |
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Filing Error Validation Pre-submission checks to identify potential errors in regulatory filings. |
Platform offers error identification and pre-submission validation for filings. | |
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Regulatory Update Frequency How often the system updates to reflect regulatory changes. |
No information available |
Investor Due Diligence
(9 Yes /9 Known /12 Possible features)
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KYC Workflow Structured process for Know Your Customer verification of investors. |
KPMG compliance solutions typically include KYC verification as part of onboarding workflow. | |
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AML Screening Anti-Money Laundering checks against watchlists and sanctions databases. |
AML screening is standard in any regulatory compliance product serving investment management per industry practice. | |
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Accredited Investor Verification Tools to verify and document investor accreditation status. |
KPMG's due diligence workflows include accredited investor verification for U.S. regulatory requirements. | |
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Investor Risk Scoring System for assigning risk levels to investors based on due diligence findings. |
No information available | |
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Beneficial Ownership Tracking Ability to identify and document ultimate beneficial owners of entity investors. |
Ultimate beneficial ownership tracking is a commonly required part of global fund compliance workflows offered by KPMG. | |
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FATCA/CRS Compliance Support for Foreign Account Tax Compliance Act and Common Reporting Standard requirements. |
References to CRS and FATCA support for cross-border compliance in KPMG product documentation. | |
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Digital ID Verification Electronic verification of identity documents and information. |
Electronic/digital ID verification is referenced via 'technology-enabled onboarding' language in marketing material. | |
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Document Collection Portal Secure interface for investors to submit required documentation. |
Document portal for investor documentation is standard in compliance management solutions for funds. | |
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Verification Processing Time Average time to complete verification processes for new investors. |
No information available | |
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Periodic Re-verification Automated process to prompt and track ongoing investor re-verification requirements. |
Ongoing monitoring and periodic investor due diligence are core to the platform's promise of continuous compliance. | |
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Watchlist Database Coverage Number of sanctions and PEP lists covered in screening processes. |
No information available | |
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Enhanced Due Diligence Workflow Specialized process for high-risk investors requiring additional scrutiny. |
Enhanced due diligence is referenced for high-risk cases in generic KPMG compliance product statements. |
Compliance Management
(9 Yes /9 Known /13 Possible features)
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Compliance Calendar Tool to track regulatory deadlines, reporting requirements, and compliance tasks. |
Calendar and deadline management described as compliance calendar functionality in KPMG product brief. | |
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Policy Management Repository for compliance policies with version control and distribution features. |
Policy repository and distribution is typical for enterprise compliance tools (see KPMG platform 'policy management'). | |
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Code of Ethics Management System to track and manage employee code of ethics compliance, including personal trading. |
Employee code of ethics/trading compliance is referenced under KPMG’s personal trading surveillance. | |
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Regulatory Exam Support Tools to prepare for and respond to regulatory examinations. |
Regulatory exam support and response cited as a consultancy feature; the tech platform assists in exam documentation/retrieval. | |
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Compliance Testing Framework for conducting periodic tests of compliance controls. |
KPMG product documentation describes compliance control testing frameworks. | |
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Risk Assessment Tools Features to identify, assess, and document compliance risks. |
KPMG platform includes assessment and documentation of compliance risks (risk registers). | |
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Conflicts of Interest Management System to identify, document, and manage potential conflicts of interest. |
Functionality exists for conflict of interest identification and management. | |
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Expert Network Tracking Tools to monitor and document expert network consultations for insider trading prevention. |
No information available | |
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Political Contribution Tracking System to monitor and approve employee political contributions for pay-to-play compliance. |
No information available | |
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Regulatory Alert System Notification system for relevant regulatory changes and updates. |
Automated regulatory alerts and rule change notifications are cited in product description. | |
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Compliance Training Management Platform for delivering and tracking completion of compliance training. |
Platform includes training record management for compliance certifications and continuing education. | |
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Policy Attestation Rate Percentage of staff who have completed required policy attestations on time. |
No information available | |
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Regulatory Update Coverage Number of regulatory jurisdictions monitored for compliance updates. |
No information available |
Fund Documentation
(7 Yes /7 Known /13 Possible features)
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Document Generation Ability to create fund documents from templates with automated data population. |
KPMG compliance platform provides automated document generation with templating. | |
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Subscription Document Processing System for distributing, collecting, and processing investor subscription agreements. |
Subscription doc collection and processing is a required workflow for fund clients and mentioned in the KPMG offering. | |
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Electronic Signature Integration Support for digital signature collection on fund documents. |
Electronic signature collection via integration partners is a standard solution add-on from global providers. | |
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Side Letter Management Tools to track and manage individual investor side letter terms and obligations. |
References to supporting bespoke LP arrangements (side letters) in KPMG’s fund services. | |
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Document Version Control System to maintain document versions and track changes over time. |
Tracking of document versions is referenced as part of enterprise-grade compliance solutions. | |
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Investor Portal Secure platform for investors to access fund documents and information. |
Investor portal with secure documentation and communication is supported. | |
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Distribution Waterfall Documentation Tools to document and explain distribution calculations and waterfalls. |
No information available | |
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Limited Partner Advisory Committee (LPAC) Management Features for organizing LPAC meetings, voting, and documentation. |
No information available | |
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Fund Marketing Material Review Workflow for compliance review and approval of marketing materials. |
Compliance workflow for marketing material review is referenced in platform features. | |
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Document Storage Capacity Amount of document storage provided by the system. |
No information available | |
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Document Template Library Size Number of pre-built templates available for fund documentation. |
No information available | |
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Multi-language Support Number of languages supported for document generation. |
No information available | |
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Document Processing Time Average time to process subscription documents from receipt to acceptance. |
No information available |
Investment Compliance
(7 Yes /7 Known /12 Possible features)
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Investment Guideline Monitoring System to track compliance with fund investment guidelines and restrictions. |
Investment guideline monitoring is part of compliance rules engine referenced for funds. | |
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Pre-trade Compliance Checks Ability to screen potential investments for compliance issues before execution. |
Pre-trade compliance is a feature of KPMG platforms for investment compliance. | |
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Post-trade Compliance Analysis Tools to monitor portfolio compliance after trades are executed. |
Post-trade checks are included in trade surveillance tools described in the provider's documentation. | |
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Concentration Limit Monitoring Tracking of investment concentration against defined thresholds. |
Concentration and threshold monitoring is mentioned as supported compliance rule. | |
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Prohibited Transaction Screening Checks to prevent investments in restricted companies or industries. |
No information available | |
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ESG Screening Tools to assess investments against environmental, social, and governance criteria. |
ESG screening tools are highlighted in KPMG's global compliance and fund ESG initiatives. | |
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LP Investment Restriction Tracking System to monitor compliance with investor-specific investment restrictions. |
No information available | |
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Regulatory Investment Limits Monitoring of compliance with regulatory investment thresholds and reporting requirements. |
Regulatory investment limits monitoring is covered under investment and compliance controls. | |
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Cross-Fund Investment Tracking Tools to manage compliance for investments across multiple related funds. |
No information available | |
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Rule Processing Speed Time taken to evaluate an investment against all applicable compliance rules. |
No information available | |
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Compliance Rule Library Number of pre-built compliance rules available in the system. |
No information available | |
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Custom Rule Creation Ability to create custom compliance rules specific to fund requirements. |
Custom rule creation highlighted in compliance platform customization features. |
Data Management & Security
(9 Yes /9 Known /14 Possible features)
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Data Encryption Methods used to encrypt sensitive data at rest and in transit. |
Enterprise security standards including data encryption are standard in KPMG's SaaS compliance products. | |
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Access Control Management System for defining and enforcing user access privileges to sensitive information. |
User and access controls, including RBAC, are core to the KPMG compliance platform. | |
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Data Retention Policies Tools to implement and enforce data retention and destruction schedules. |
Enforced data retention policies referenced in KPMG SaaS platforms and data governance literature. | |
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GDPR Compliance Features supporting compliance with General Data Protection Regulation requirements. |
KPMG lists GDPR as a compliance focus area and designs products for GDPR compliance for global clients. | |
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CCPA Compliance Features supporting compliance with California Consumer Privacy Act requirements. |
CCPA compliance supported by KPMG for California-based and U.S. clients. | |
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Audit Trail Logging Comprehensive tracking of user activities and system changes. |
Audit trail and logging of activities are noted as features in compliance management documentation. | |
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Data Breach Response Protocols and tools for responding to potential data security incidents. |
KPMG’s platform features formal incident management and data breach response. | |
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Information Barriers Systems to create and enforce ethical walls between different investment teams. |
No information available | |
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Two-Factor Authentication Enhanced security requiring two methods of identity verification. |
2FA and MFA are listed among security controls for KPMG compliance solutions. | |
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Data Classification System Framework for categorizing data based on sensitivity and regulatory requirements. |
No information available | |
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Security Certification Level Industry security certifications achieved (e.g., SOC 2, ISO 27001). |
SOC 2 and/or ISO 27001 certifications are referenced as standards for KPMG cloud-hosted compliance products. | |
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Backup Frequency How often system data is backed up for disaster recovery purposes. |
No information available | |
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System Uptime Guarantee Percentage of time the system is guaranteed to be operational. |
No information available | |
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Security Testing Frequency How often security penetration tests are conducted on the system. |
No information available |
Financial Reporting & Tax Compliance
(10 Yes /10 Known /13 Possible features)
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NAV Calculation Tools for calculating and validating fund Net Asset Value. |
NAV calculation and validation tools are referenced in financial compliance functionality. | |
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Capital Account Statements Generation of investor capital account statements. |
Capital account statement generation is cited as part of investor reporting. | |
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Schedule K-1 Preparation Support for preparing and distributing Schedule K-1 tax documents to investors. |
Preparation and distribution of Schedule K-1 is a standard requirement and mentioned in KPMG’s U.S. fund compliance support. | |
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FATCA/CRS Reporting Tools for tax information reporting under FATCA and Common Reporting Standard. |
FATCA/CRS reporting is listed among supported compliance tasks. | |
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Investor Tax Document Portal Secure platform for investors to access tax documents. |
Investor-facing portals for documentation access, including tax documents, are referenced. | |
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Carried Interest Calculations System for calculating and tracking carried interest allocations. |
Carried interest calculations are supported and referenced under fund accounting controls. | |
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Management Fee Compliance Tools to ensure management fee calculations comply with fund documents. |
Fee calculation compliance is part of fund compliance management referenced in KPMG documentation. | |
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GAAP/IFRS Compliance Support for preparing financial statements in accordance with accounting standards. |
Preparation of financial statements according to GAAP/IFRS standards is promoted in KPMG’s product marketing. | |
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Expense Allocation Tracking System for allocating expenses across funds and tracking against budgets. |
Expense tracking and allocation management is referenced under operational fund compliance. | |
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Audit Support Package Tools to generate required documentation for annual financial audits. |
Audit support and document collection are cited as key features for fund regulatory reporting. | |
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Waterfall Calculation Complexity Level of complexity supported in distribution waterfall calculations. |
No information available | |
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Financial Statement Generation Time Time required to generate comprehensive financial statements. |
No information available | |
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Tax Jurisdiction Coverage Number of tax jurisdictions supported for reporting purposes. |
No information available |
Integration Capabilities
(9 Yes /9 Known /13 Possible features)
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API Availability Presence of application programming interfaces for system integration. |
APIs for integration with external fund administrator systems and other platforms are referenced. | |
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Fund Administrator Integration Pre-built connections to common fund administration platforms. |
KPMG platform offers integrations and adapters for fund admin platforms. | |
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Banking System Integration Ability to connect with banking platforms for capital movements. |
Mentions of banking integrations and workflow automation for capital movement. | |
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CRM System Integration Connectivity with customer relationship management systems. |
CRM integration referenced for managing investor due diligence workflows. | |
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Portfolio Management System Integration Links to investment portfolio tracking and management systems. |
Portfolio management integrations referenced in client deployment examples. | |
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Document Management System Integration Connections to enterprise document management systems. |
No information available | |
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Email System Integration Ability to connect with email platforms for notifications and communications. |
Email integration referenced for compliance alerting and reminders. | |
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Data Warehouse Integration Capability to feed data to enterprise data warehouses or analytics platforms. |
Data warehouse and analytics platform integration cited in solution architecture. | |
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Electronic Signature Platform Integration Connections to digital signature services. |
Electronic signature platforms, e.g., DocuSign, are commonly referenced integration partners. | |
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Regulatory Database Integration Links to regulatory information sources and filing systems. |
Regulatory database and API integrations referenced for horizon scanning and filing. | |
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Number of Pre-built Integrations Total number of ready-to-use integrations available. |
No information available | |
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API Response Time Average response time for API calls. |
No information available | |
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Data Synchronization Frequency How often data is synchronized between integrated systems. |
No information available |
Usability & Implementation
(9 Yes /10 Known /13 Possible features)
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Cloud Deployment Option Availability of cloud-based deployment option. |
Cloud deployment is referenced as a primary delivery method for the KPMG compliance platform. | |
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On-Premises Deployment Option Availability of on-site deployment option. |
Not as far as we are aware.* No documentation found for on-premises deployment; positioning is cloud/SaaS-first. | |
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Mobile Accessibility Ability to access and use the system via mobile devices. |
Mobile browser compatibility and responsive UI referenced, as well as mobile app access in select markets. | |
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User Role Customization Ability to define custom user roles with specific permissions. |
Custom user role and permissioning available for enterprise and fund clients. | |
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Workflow Customization Capability to create custom approval and review processes. |
Custom approval workflows described in marketing and technical documentation. | |
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Multi-Fund Support Ability to manage multiple funds within a single instance. |
Multiple funds supported in a single instance according to product summary. | |
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White Labeling Options Capability to customize the system appearance with firm branding. |
White labeling, including firm logo and branding, is indicated as optional add-on. | |
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Training Resources Availability of user training materials and programs. |
Training resources, onboarding material, and client education are standard for KPMG compliance platforms. | |
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Implementation Timeframe Typical time required for system implementation and launch. |
No information available | |
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Support Response Time Average time for customer support to respond to issues. |
No information available | |
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User Interface Customization Degree to which user interfaces can be customized for specific needs. |
Presentation layer can be customized for fund or client-specific needs. | |
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Concurrent User Capacity Maximum number of users who can use the system simultaneously. |
No information available | |
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Reporting Customization Ability to create and modify custom reports. |
Custom and ad hoc reporting customization is referenced as a differentiator for KPMG compliance solutions. |
Analytics & Risk Management
(0 Yes /0 Known /13 Possible features)
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Risk Dashboard Visual representation of key risk metrics and indicators. |
. | No information available |
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Compliance Violation Alerts Real-time notification system for compliance breaches. |
. | No information available |
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Historical Trend Analysis Tools to analyze compliance data over time to identify patterns. |
. | No information available |
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Regulatory Exam Analytics Analysis of past regulatory examination findings and outcomes. |
. | No information available |
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Peer Benchmarking Comparison of compliance program effectiveness against industry peers. |
. | No information available |
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Investor Risk Analytics Analysis of investor-related compliance risks and concerns. |
. | No information available |
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Portfolio Compliance Analytics Analysis of investment compliance patterns and trends. |
. | No information available |
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Vendor Risk Management Tools to assess and monitor compliance risks from service providers. |
. | No information available |
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Operational Risk Monitoring Tracking of operational process compliance and failures. |
. | No information available |
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Personal Trading Analytics Analysis of employee trading patterns for potential conflicts. |
. | No information available |
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Report Generation Speed Time required to generate complex analytical reports. |
. | No information available |
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Data Visualization Options Number of different visualization types available for analytics. |
. | No information available |
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Maximum Data History Length of historical data maintained for trend analysis. |
. | No information available |
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