BNY Mellon
Jane Mancini
Managing Director
240 Greenwich St
New York, NY 10286
212-495-1784
assetservicingmarketing@bnymellon.com
www.bnymellon.com
Year RC services began: 1985
BNY Mellon is dedicated to helping clients navigate the trends and regulations that shape our industry. Our set of compliance services are designed to help you navigate the evolving industry changes by providing services and capabilities to help you mitigate risk and facilitate your compliance with key regulations.
Blue sky: BNY Mellon’s ClearSky® service is one of the most widely used blue sky filing services in the mutual fund industry. It provides a robust solution for blue sky compliance needs. We work collaboratively with clients to create tailored solutions to meet their unique needs. Through the secured website, BlueOnline, clients have access to real-time permit and financial information from the BlueWin system, the mutual fund industry’s most widely used blue sky software. As of 12/31/19, BNY Mellon manages over 330,000 state permits for over 200 prominent investment and asset management companies. Over 90% of our filings are electronically filed, using the BlueExpress system, helping to reduce the time and risk inherent in mailing paper filings.
Rule 38a-1: BNY Mellon offers integrated support services to assist the CCOs of its mutual fund clients in complying with the requirements of SEC Rule 38a-1. As part of these services, clients are provided 24/7 access, through a secure searchable worksite, to the applicable policies and procedures of BNY Mellon. Additionally, BNY Mellon provides clients with periodic written certifications regarding its 38a-1 policies and procedures. Each year, an independent auditor conducts a compliance review of BNY Mellon’s 38a-1 policies and procedures and the independent auditors’ report is made available to client CCOs. BNY Mellon also hosts an annual CCO Forum, which provides a venue for CCOs to interact with other CCOs, BNY Mellon management and industry experts to share industry best practices.
Rule 22c-2: BNY Mellon offers fund companies cost-effective support for SEC Rule 22c-2 regulatory compliance. Our Rule 22c-2 solution features flexible technology, multiple channels for data collection from intermediaries and the analytics to screen that data for shortterm trading activity potentially requiring a response under Rule 22c-2 and the fund’s short-term trading policy. Delivered through a full service or remote servicing model, BNY Mellon’s Rule 22c-2 solution provides you with an array of functions, defined by your organization, to address your specific 22c-2 compliance needs.