Features
Built around the rules, not around a generic to-do list.
Every part of ETFcomply is anchored to a specific obligation and its citation. The rule cites are the credibility: this is a tool that knows N-PORT from N-CEN, the names-rule 80% test from RIC diversification, and treats each as its own tracked control.
Books & records vault
A retention-aware home for every fund document.
Connect Gmail or Microsoft 365 read-only and each document is auto-classified, integrity-checked, and filed under the right retention class.
- Retention classes · Rules 31a-1 / 31a-2
- Most fund records held 6 years, with the first 2 easily accessible; charter documents, minutes, and ledgers permanent. The adviser 204-2 five-year class is tracked alongside.
- Taxonomy
- Nine categories from Daily Ops and Index & Benchmark to Board & 15(c), Regulatory Filings, and Distributions & Tax, each carrying its own destroy-not-before and easily-accessible-until dates.
- Integrity
- Every document carries a sha256 hash, its source and message of record, received-versus-document dates, and a confidentiality flag for N-RN, 13F-CTR, and N-PORT months one and two.
Books & records · 2,481 documents
sha256 verified| Document | Category | Retention |
|---|---|---|
| Board minutes — Q2 | Board & 15(c) | Permanent |
| N-PORT filing package | Regulatory Filings | 6 years |
| Index constituents file | Index & Benchmark | 6 years |
| Daily holdings export | Daily Ops | 6 years |
Compliance calendar
25 obligations, computed and business-day rolled.
The calendar seeds itself against your funds and fiscal dates, then materializes instances 18 months out with lead-time alerts.
- Deadline clocks
- Fiscal year end, fiscal quarter, calendar quarter, calendar year, fixed date, and event-triggered paths drive every period. Due dates roll forward off weekends and US market holidays.
- The catalog
- N-PORT, N-CEN, 485(b), tailored shareholder reports, N-PX, 24F-2, 13F, the 15(c) cycle, 17j-1, 38a-1, 2a-5, 22e-4, RIC diversification, excise, the names rule, and Reg S-P among them.
- Evidence-gated completion
- An obligation closes only with a linked evidence document or an explicit override note, and either way a compliance record captures the basis. Waivers require a written rationale.
Open Obligations · 14
On track| Obligation | Cite | Deadline |
|---|---|---|
| Form N-PORT | Rule 30b1-9 | Due 5d |
| §15(c) Advisory Contract Renewal | §15(c) | Due 34d |
| Form N-PX | Rule 30b1-4 | Due 51d |
| 38a-1 Annual Compliance Review | Rule 38a-1 | Due 62d |
| Form 24F-2 | Rule 24f-2 | Due 88d |
Automated monitoring
Controls that check themselves daily.
Each check writes the full computed snapshot as its own auditable record and raises an alert on watch or breach.
- RIC diversification · IRC §851(b)(3)
- The 25% single-issuer test and the 50% basket test run against the latest holdings, warning at 80% of a limit and failing on breach, with per-issuer detail retained.
- Names rule 80% · Rule 35d-1
- Qualifying holdings over total assets against the 80% policy threshold, warning under 82% and failing under 80%.
- Premium/discount persistence · Rule 6c-11
- Consecutive trading days beyond a 2% premium or discount, warning at five and failing at seven, where the 6c-11 website disclosure is triggered.
- Missing documents · 13F threshold
- Missing-document detection flags gaps in expected daily categories, and the 13F check tracks aggregate 13(f) value against the $100M line.
Daily checks · as of prior close
| Check | Cite | Value | State |
|---|---|---|---|
| RIC Diversification | IRC §851(b)(3) | 41.2% / 50% | Pass |
| Names Rule 80% test | Rule 35d-1 | 83.6% | Pass |
| Premium/Discount persistence | Rule 6c-11 | 5 days | Watch |
| Missing document detection | Rule 31a-1 | 0 gaps | Pass |
| 13F $100M threshold | §13(f) | $92.4M | Near |
Filing & exports
Single-click 13F and examiner-ready bundles.
Turn tracked data into filing packages and exam responses without rebuilding them by hand.
- Single-click 13F
- An EDGAR-shaped XML package with CUSIP and official-list validation, assembled from tracked holdings and ready to file when the threshold triggers.
- Five examiner bundles
- The exam opener, books & records by rule cite with coverage gaps, the 15(c) board pack, filing history, and portfolio evidence, each with a hashed manifest.
- Coverage gaps surfaced first
- The books-and-records bundle maps documents to rule cites and flags any gap before you send, so an examiner never finds it before you do.
Examiner bundles · hashed manifest
Roles & audit
Seats for the whole compliance file, and a trail that cannot be edited.
Owner & member
Full working access for the internal compliance team running the day-to-day.
Read-only viewer
A viewer seat for the trust CCO or an outside auditor to review without changing anything.
Append-only audit trail
Every action recorded in a tamper-evident log, so the history of the file stands on its own.
Bring order to the filing calendar.
Design partner slots are open. We onboard you by hand, connect your administrator, and seed the calendar against your funds.