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Dive Into the New Age of Capital Administration

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Harmonious Platform Demo

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SPV Administration

SPV administration refers to the management and operation of a Special Purpose Vehicle (SPV). An SPV is a separate legal entity created for a specific purpose, often used in financial transactions or to isolate risks. SPV administration involves overseeing the day-to-day activities of the SPV, ensuring compliance with relevant regulations, managing financial transactions, and maintaining accurate records. The administrator handles tasks such as cash flow management, reporting, investor relations, and coordinating with various stakeholders involved in the SPV's activities.

Regulation and Compliance Filings

Form D is a document used by the Securities and Exchange Commission (SEC) in the United States for private offerings of securities. It is not directly related to Know Your Customer (KYC) or Anti-Money Laundering (AML) requirements.

KYC is a process that financial institutions follow to verify the identity of their customers and assess the risks associated with their financial transactions. It involves collecting information such as name, address, date of birth, and government-issued identification.

AML refers to the measures taken by financial institutions to prevent money laundering and other illicit activities. This includes implementing policies and procedures to detect and report suspicious transactions, conducting due diligence on customers, and monitoring their transactions.

While Form D is not directly related to KYC/AML, it may contain information about the issuer of securities and the offering, which could be relevant for regulatory purposes. However, specific KYC/AML requirements would be addressed through separate procedures and documentation, such as customer due diligence forms and transaction monitoring systems.

Deal Room

A deal room for funds, also known as a virtual data room (VDR), is an online platform that facilitates the secure sharing and exchange of sensitive information between fund managers and potential investors during the due diligence process. It serves as a central repository for all relevant documents and data related to a particular investment opportunity.

The deal room allows fund managers to organize and present information such as investment prospectuses, financial statements, legal agreements, market research, and other confidential documents. It provides controlled access to authorized individuals, ensuring that only approved parties can view and download the documents.

Key features of a deal room include document version control, granular permissions and access controls, activity tracking, and secure communication channels. These features help maintain data integrity, track user interactions, and facilitate collaboration and discussions between fund managers and investors.

By using a deal room, fund managers can streamline the due diligence process, reduce administrative burdens, enhance data security, and improve communication and transparency with potential investors. It also allows for efficient management of multiple investment opportunities simultaneously, making the fundraising process more organized and structured.

Dedicated Customer Experience Service

Customer Experience support is a service provided by fund administration firms to assist their clients with any inquiries, issues, or support needs related to their fund administration services. The customer support team is responsible for addressing and resolving client queries, providing guidance on account management, and offering technical assistance when required.

The specific scope of customer support services may vary depending on the fund administration firm and the agreed-upon terms of service. However, common areas where customer support can assist include:

  1. Account Management: Assisting clients with account setup, onboarding, and general account maintenance tasks.

  2. Reporting and Statements: Responding to queries related to fund performance reports, financial statements, and other reporting requirements.

  3. Operational Support: Providing guidance on operational processes such as trade settlements, cash management, and reconciliations.

  4. Technology Support: Assisting with technical issues related to the fund administration platform, software access, or data management systems.

  5. Regulatory Compliance: Addressing client concerns regarding compliance with regulatory requirements and assisting with any related documentation.

  6.  Investor Services: Supporting clients with investor-related inquiries, such as account inquiries, subscription/redemption processes, and investor reporting.

Fund administration firms aim to provide prompt and efficient customer support to ensure that their clients' needs are met and their concerns are addressed in a timely manner. This helps foster a strong client relationship and enhances the overall experience of utilizing fund administration services.

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