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Regulatory Compliance

Class Action and Settlement Administration Services

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The simple solution for complicated compliance requirements.

Compliance is an important, yet exceptionally complex undertaking for financial services companies. But Boston Financial has the infrastructure, technology and expertise in place to offer a comprehensive turnkey solution. Led by the Chief Compliance Officer, our compliance team keeps a close eye on ever-changing SEC, IRS, ERISA, and state regulations, adjusting our systems and processes accordingly. Clients have access to a suite of online compliance tools, providing direct access controls, monitoring, and reporting information needed to measure compliance functions we perform on their behalf. Ongoing employee training, stringent internal procedures and controls, and regular independent audits ensure our compliance services remain consistent and up-to-date for all clients.


  • Reconciliation, remittance and reporting of federal and state withholding
  • Abandoned property reporting
  • Data security
  • Fraud prevention and detection
  • Anti-money laundering
  • Locating lost shareholders

22c-2 Compliance

Identifying market timers. Communicating exceptions to intermediaries. Creating compliance records for future audit needs. SEC Rule 22c-2 mandates that financial services companies complete these tasks and much more. An extremely resource-intensive regulation, Boston Financial offers a full-service 22c-2 Compliance solution:

  • Maintenance of intermediary surveillance schedules
  • Data management monitoring
  • Customized reporting solutions for market timing analysis
  • Daily exception analysis of market timing policies
  • Communication and resolution of market timing exceptions
  • Intermediary and trade compliance
  • Management reporting
  • Integrated technology solutions to support compliance with 22c-2

Leveraging industry-recognized strengths in transfer agency and shareholder services, Boston Financial brings together sophisticated technologies and deep industry expertise to offer specific omnibus account transparency solutions and clear, easily-actionable reports that help you monitor - and take action against - market timing and/or abusive traders.