MARS is used by many of our clients to assist them in identifying situations where potential improper trading may be occurring. Our 22c-2 Compliance Full-service solution includes the industry-specific features, design leadership and superior service that our clients have come to expect with MARS. With the MARS 22c-2 Compliance Full-service solution you gain the advantage of implementing best practices to ensure compliance with Rule 22c-2 without increasing staff or adding technical infrastructure.

The MARS 22c-2 Compliance solution is one of the most comprehensive and effective 22c-2 Compliance Tracking, Management and Reporting solutions available today. MARS Compliance provides the flexibility to define both omnibus and non-omnibus compliance rules and scenarios to monitor all transactions for 22c-2. In addition to addressing 22c-2 concerns, MARS also includes rules for “prospectus compliance” such as CDSC monitoring, Redemption Fee monitoring, Purchase minimums monitoring (initial and subsequent), Purchase maximums monitoring (in back-end and level load funds), Sales charge on purchases on accounts with Letters of Intent (LOI), and Best pricing on purchase for linked accounts and Rights of Accumulation (ROA).

With the MARS Full-service 22c-2 solution we do the trade data monitoring and reporting for you. Advantages include:

• We host your MARS 22c-2 Compliance solution at our Data Center you don’t need to add technical infrastructure and support staff;
• We set up all the interfaces to MARS including Transfer Agent interfaces, the NSCC SDR interface and all the intermediary interfaces including the Merrill Lynch interface through our special partnership with Merrill Lynch. This saves your organization time and money;
• We work with your organization to define your business specific 22c-2 compliance rules and then we maintain and adjust the rules as required; This means that you do not need to add staff to support 22c-2 requirements;
• We review the flagged transactions which indicate potential rule violations;
• We create and manage requests for information from intermediaries;
• We can request trading/account blocks;
• Audit reporting for compliance violations including action items and communication systematically; and
• We provide reporting to fund management, CCO and fund board.

Solve your 22c-2 Compliance challenge in time for the October 2007 deadline with the MARS 22c-2 Full-service Compliance solution.