Compliance Management Built for Asset Management Companies
Bring regulatory obligations, workflows, evidence, and reporting into one system.
eQomply helps AMC Legal and Compliance teams manage what needs to be done, who owns it, when it is due, and what evidence supports it, across their compliance operations.
The regulatory reality for asset management companies
SEBI regulations span governance, investments, disclosures, risk management, operations, and investor protection. Different teams own different obligations. Keeping a complete view across functions, entities, and regulatory changes requires constant coordination.
1
Regulations that span multiple functions
SEBI requirements cover governance, investment management, disclosures, risk management, technology, investor protection, and operations. Compliance has to coordinate requirements across teams rather than manage them in isolation.
2
Obligations tracked across teams and systems
Compliance, operations, risk, investments, and other functions may each track their own requirements. Without a unified compliance register, ownership, status, deadlines, and evidence remain fragmented.
3
Manual consolidation for management visibility
AMC leadership needs visibility into compliance across functions and entities. Teams often spend time consolidating trackers and status updates before management or committee reviews, creating a picture that can quickly become outdated.
4
Regulatory changes create ongoing compliance work
New circulars, amendments, and regulatory requirements can change existing obligations or introduce new ones. Identifying what changed, determining what is impacted, and assigning the resulting actions requires a structured process.
What changes with eQomply
eQomply gives AMC Legal and Compliance teams a structured way to manage regulatory obligations across functions. Pre-mapped compliance workflows. Centralized evidence. Automated ownership and deadlines. Regulatory changes connected to the obligations they impact.
Pre-mapped compliance workflows
Start with ready-to-use workflows mapped to regulatory obligations. Configure ownership, controls, steps, and evidence without building every compliance process from scratch.
Obligation tracking across functions
Bring compliance obligations from governance, investments, risk, operations, investor protection, and other functions into one system. Assign owners and track status without siloed trackers.
Evidence captured as work happens
Approvals, attestations, reviews, filings, and supporting documents are captured against the relevant obligation. Build an evidence trail continuously instead of reconstructing it before an audit or inspection.
Regulatory changes linked to impacted obligations
When regulations change, identify the obligations and workflows that may be affected. Give Compliance teams a structured starting point for assessing impact and assigning actions.
Compliance visibility across entities
See compliance status across the organization from one system. Track obligations, overdue items, exceptions, and evidence without manually consolidating updates from different teams.
Board-ready reporting without weeks of preparation
Turn operational compliance data into management and board-level reporting. Surface compliance status, findings, exceptions, and trends without manually assembling the picture for every review.
Use Cases
See how this works in practice
A new SEBI circular changes an existing requirement. eQomply identifies the affected obligations, links the regulatory change to the relevant workflows, and helps Compliance assign actions to the right owners. No separate spreadsheet or manual tracking exercise required.
Compliance needs to produce evidence across multiple obligations and functions. With evidence captured against obligations as work happens, teams can quickly identify what is complete, what is missing, and what needs attention before responding to an inspection or audit request.
The Compliance team needs to report on the organization's current compliance position. eQomply brings obligation status, overdue items, exceptions, and evidence into one view, making it easier to prepare management and board-level reporting without manually consolidating updates.
See how eQomply works for Asset Management Companies
A walkthrough tailored to your regulatory environment.