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SS&C Advent Geneva from SS&C Technologies
Provides comprehensive capabilities for portfolio management, performance measurement, and compliance tracking. Allows fund managers to ensure regulatory adherence efficiently while managing their investments.
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
(3 Yes /4 Known /12 Possible features)
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Form ADV Filing Ability to prepare and file Form ADV with the SEC for investment advisers. |
Not as far as we are aware.* Geneva supports regulatory data and reporting but does not have built-in creation and e-filing support for Form ADV. You would need a third-party add-on or integration. | |
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Form PF Support Capability to complete and submit Form PF for private fund advisers. |
No information available | |
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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. |
No information available | |
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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. |
Geneva is used by global firms and has capabilities for multi-jurisdictional compliance, tax, and regulatory reporting. | |
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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. |
Automation and deadline management capabilities are promoted as key features. | |
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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. |
Validation and review workflow for reporting is a standard feature. | |
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Regulatory Update Frequency How often the system updates to reflect regulatory changes. |
No information available |
Investor Due Diligence
(3 Yes /3 Known /12 Possible features)
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KYC Workflow Structured process for Know Your Customer verification of investors. |
Customizable onboarding and workflow processes can be tailored for KYC in many client setups, but KYC is not always native and may require integration. | |
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AML Screening Anti-Money Laundering checks against watchlists and sanctions databases. |
No information available | |
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Accredited Investor Verification Tools to verify and document investor accreditation status. |
No information available | |
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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. |
No information available | |
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FATCA/CRS Compliance Support for Foreign Account Tax Compliance Act and Common Reporting Standard requirements. |
No information available | |
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Digital ID Verification Electronic verification of identity documents and information. |
No information available | |
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Document Collection Portal Secure interface for investors to submit required documentation. |
Investor web portals for document collection and review are a standard feature. | |
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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. |
Periodic re-verification supported via configurable workflow reminders and checks. | |
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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. |
No information available |
Compliance Management
(6 Yes /6 Known /13 Possible features)
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Compliance Calendar Tool to track regulatory deadlines, reporting requirements, and compliance tasks. |
Compliance calendar tools are part of compliance tracking in Geneva. | |
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Policy Management Repository for compliance policies with version control and distribution features. |
Supports document management with versioning for policy distribution. | |
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Code of Ethics Management System to track and manage employee code of ethics compliance, including personal trading. |
No information available | |
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Regulatory Exam Support Tools to prepare for and respond to regulatory examinations. |
Audit and regulatory exam support features are available. | |
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Compliance Testing Framework for conducting periodic tests of compliance controls. |
Compliance testing and workflows are configurable in Geneva. | |
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Risk Assessment Tools Features to identify, assess, and document compliance risks. |
Risk and compliance assessment tools are part of standard Geneva deployment. | |
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Conflicts of Interest Management System to identify, document, and manage potential conflicts of interest. |
No information available | |
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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. |
System provides regulatory and compliance alerts as part of notifications. | |
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Compliance Training Management Platform for delivering and tracking completion of compliance training. |
No information available | |
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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. |
Document generation from data templates is included (e.g., statements, investor notices). | |
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Subscription Document Processing System for distributing, collecting, and processing investor subscription agreements. |
Subscription and document workflow management are built-in. | |
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Electronic Signature Integration Support for digital signature collection on fund documents. |
Supports integration with digital signature platforms. | |
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Side Letter Management Tools to track and manage individual investor side letter terms and obligations. |
Side letter tracking and documentation are supported as per client references. | |
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Document Version Control System to maintain document versions and track changes over time. |
Document versioning and audit history available for amendments and legal tracking. | |
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Investor Portal Secure platform for investors to access fund documents and information. |
Secure investor portal comes standard for fund reporting and documentation. | |
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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. |
Supports workflows for compliance review and approval of investor/marketing documents. | |
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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
(10 Yes /10 Known /12 Possible features)
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Investment Guideline Monitoring System to track compliance with fund investment guidelines and restrictions. |
Investment guideline monitoring and compliance tracking is a standout capability. | |
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Pre-trade Compliance Checks Ability to screen potential investments for compliance issues before execution. |
Pre-trade and post-trade compliance features well documented across product literature. | |
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Post-trade Compliance Analysis Tools to monitor portfolio compliance after trades are executed. |
Post-trade compliance is standard and baked into routine workflows. | |
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Concentration Limit Monitoring Tracking of investment concentration against defined thresholds. |
Concentration/risk exposure monitoring is integrated for regulatory limits. | |
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Prohibited Transaction Screening Checks to prevent investments in restricted companies or industries. |
Prohibited transaction monitoring is standard. User can configure restrictions. | |
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ESG Screening Tools to assess investments against environmental, social, and governance criteria. |
ESG screening features are available based on data enrichment partnerships. | |
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LP Investment Restriction Tracking System to monitor compliance with investor-specific investment restrictions. |
Investor-specific restriction and compliance monitoring can be configured. | |
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Regulatory Investment Limits Monitoring of compliance with regulatory investment thresholds and reporting requirements. |
Regulatory investment limits (e.g. 40 Act, UCITS) can be coded into compliance rules. | |
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Cross-Fund Investment Tracking Tools to manage compliance for investments across multiple related funds. |
Cross-fund and multi-fund compliance requirements can be centrally managed. | |
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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. |
Users can create, edit, and deploy custom compliance rules. |
Data Management & Security
(10 Yes /10 Known /14 Possible features)
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Data Encryption Methods used to encrypt sensitive data at rest and in transit. |
Data encryption is supported at rest and in transit per SS&C security documentation. | |
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Access Control Management System for defining and enforcing user access privileges to sensitive information. |
Role-based access control is standard in Geneva. | |
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Data Retention Policies Tools to implement and enforce data retention and destruction schedules. |
Supports admin-defined data retention and audit settings. | |
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GDPR Compliance Features supporting compliance with General Data Protection Regulation requirements. |
Geneva is GDPR compliant and designed for EU client requirements. | |
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CCPA Compliance Features supporting compliance with California Consumer Privacy Act requirements. |
Geneva provides CCPA-ready features for U.S. clients. | |
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Audit Trail Logging Comprehensive tracking of user activities and system changes. |
Audit trail and change logging is standard and available to compliance staff. | |
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Data Breach Response Protocols and tools for responding to potential data security incidents. |
Incident response and data breach management capabilities documented by vendor. | |
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Information Barriers Systems to create and enforce ethical walls between different investment teams. |
Legal compliance and information barrier tools are available for multi-team deployments. | |
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Two-Factor Authentication Enhanced security requiring two methods of identity verification. |
Two-factor authentication is an available security option. | |
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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). |
SS&C Advent services carry SOC 1 & SOC 2 certifications. | |
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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
(9 Yes /9 Known /13 Possible features)
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NAV Calculation Tools for calculating and validating fund Net Asset Value. |
NAV calculation and validation are a core differentiator for Geneva. | |
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Capital Account Statements Generation of investor capital account statements. |
Capital account statement generation is standard for investor reporting. | |
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Schedule K-1 Preparation Support for preparing and distributing Schedule K-1 tax documents to investors. |
No information available | |
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FATCA/CRS Reporting Tools for tax information reporting under FATCA and Common Reporting Standard. |
Supports FATCA/CRS workflow with data export and reporting tools. | |
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Investor Tax Document Portal Secure platform for investors to access tax documents. |
Investor report/tax document portal included for client and investor access. | |
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Carried Interest Calculations System for calculating and tracking carried interest allocations. |
Carried interest tracking and waterfall tools are standard in venture/private equity instances. | |
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Management Fee Compliance Tools to ensure management fee calculations comply with fund documents. |
Management fee calculation and compliance features integrated. | |
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GAAP/IFRS Compliance Support for preparing financial statements in accordance with accounting standards. |
Supports both GAAP and IFRS accounting standards. | |
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Expense Allocation Tracking System for allocating expenses across funds and tracking against budgets. |
Supports allocation of fund-level and investor-level expenses. | |
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Audit Support Package Tools to generate required documentation for annual financial audits. |
Audit support report generation is standard. | |
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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
(10 Yes /10 Known /13 Possible features)
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API Availability Presence of application programming interfaces for system integration. |
Extensive REST and SOAP API support cited in documentation. | |
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Fund Administrator Integration Pre-built connections to common fund administration platforms. |
Supports integration with leading fund accounting and admin vendors. | |
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Banking System Integration Ability to connect with banking platforms for capital movements. |
Bank and payment system connectivity available. | |
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CRM System Integration Connectivity with customer relationship management systems. |
CRM integration through APIs and standard connectors. | |
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Portfolio Management System Integration Links to investment portfolio tracking and management systems. |
Portfolio management suite is designed for portfolio system integration. | |
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Document Management System Integration Connections to enterprise document management systems. |
Document management integration supported; see partner ecosystem. | |
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Email System Integration Ability to connect with email platforms for notifications and communications. |
Email connectivity for alerts, notifications, and workflow tasks. | |
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Data Warehouse Integration Capability to feed data to enterprise data warehouses or analytics platforms. |
Data warehouse connectors and export jobs available. | |
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Electronic Signature Platform Integration Connections to digital signature services. |
E-signature integration—supports DocuSign, Adobe Sign, etc. | |
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Regulatory Database Integration Links to regulatory information sources and filing systems. |
Supports regulatory reporting feeds for filings (filing-ready output). | |
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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 /9 Known /13 Possible features)
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Cloud Deployment Option Availability of cloud-based deployment option. |
Cloud/SaaS deployment is standard for Geneva. | |
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On-Premises Deployment Option Availability of on-site deployment option. |
On-premises option is available for regulated and large institutions. | |
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Mobile Accessibility Ability to access and use the system via mobile devices. |
Mobile-optimized interface provided. | |
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User Role Customization Ability to define custom user roles with specific permissions. |
Comprehensive user rights/roles structure is configurable. | |
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Workflow Customization Capability to create custom approval and review processes. |
Workflow customization supported for approval, reviews, etc. | |
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Multi-Fund Support Ability to manage multiple funds within a single instance. |
Multiple funds/entities can be managed from same Geneva instance. | |
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White Labeling Options Capability to customize the system appearance with firm branding. |
No information available | |
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Training Resources Availability of user training materials and programs. |
Training, support, and online portals are provided with subscriptions. | |
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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. |
User interface modular and configurable per user/role. | |
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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. |
User-configurable and ad hoc reporting is a promoted feature. |
Analytics & Risk Management
(7 Yes /7 Known /13 Possible features)
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Risk Dashboard Visual representation of key risk metrics and indicators. |
Risk dashboards and compliance reporting are shown in product screenshots. | |
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Compliance Violation Alerts Real-time notification system for compliance breaches. |
Compliance violation notifications are configurable. | |
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Historical Trend Analysis Tools to analyze compliance data over time to identify patterns. |
Historical analysis included for compliance and performance data. | |
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Regulatory Exam Analytics Analysis of past regulatory examination findings and outcomes. |
Regulatory exam analytics and response tools are basic but included. | |
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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. |
Investor risk analysis is supported by performance and compliance analytics. | |
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Portfolio Compliance Analytics Analysis of investment compliance patterns and trends. |
Portfolio compliance analytics and breakdowns are a built-in reporting option. | |
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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. |
Operational checks/process compliance stats available in dashboard features. | |
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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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