ComplianceManager

A platform for certification and verification letters to comply with SEC and FINRA regulations on 144A, RegS, 5130/5131, Sophisticated Municipal Market Professional, Rule 2111, and Rule 2242.

ComplianceManager will help you:

  • Quickly and easily access needed information from a central location
  • Conduct due diligence in a timely manner
  • Clearly isolate account discrepancies
  • Increase efficiency with direct certification of banks and investors
  • Relieve the administrative burden of obtaining, storing, and maintaining letters

For more information on how ComplianceManager can help manage risk, contact our team today.

Download the ComplianceManager PDF

Compliance Manager Screenshot
  1. Security at Dealogic

    Dealogic is committed to maintaining stringent information security from our processes to our platform, products, people, and practices.

  2. Content and Data

    The foundation of the Dealogic platform and the industry standard relied on by clients and publications worldwide.

To join the hundreds of clients already on the Dealogic platform, contact our team today.

  1. Asia Pacific
  2. Europe
  3. Americas