Client’s Need:

• A buy-side firm required Amba’s support to file 100+ publications for its retail client with the relevant regulatory body as per the applicable guidelines.

Amba’s Solution:

• Amba deployed compliance-trained analysts to file the buy-side firm’s publications for its retail client with the relevant regulator as per the defined process.
• Amba analysts monitor the approval status of the filed documents. As and when the filed documents are approved, they are sent to the client’s compliance team to be uploaded to client-specified websites.
• The Amba analyst maintains the regulatory filing status information section of the document review system used by the client.

Value/Outcome:

• Amba enables the client’s compliance team to focus on approving the publications for the retail client.

• The Amba team’s turnaround time for each request is 24 hours.