FundAdmin AI

Appearance

Compliance & Regulatory Commands ​

FundAdmin AI automates complex compliance workflows across multiple regulatory frameworks. These commands verify adherence to FATCA, CRS, AML/KYC, ERISA, and other regulatory requirements, and prepare filing-ready documentation for common regulatory submissions.

All compliance outputs include citation references to the specific regulation, rule, or guidance relied upon.

/fund check-compliance ​

Description: Runs a multi-framework compliance check against a fund document or dataset. Evaluates compliance across FATCA, CRS, AML/KYC, ERISA, Form PF, AIFMD, and SFDR in a single pass. Produces a compliance scorecard with pass/fail results and remediation guidance.

Usage ​

bash
/fund check-compliance <file>

Inputs ​

ParameterTypeRequiredDescription
fileFile pathYesFund document, investor data file, or compliance package (PDF, DOCX, JSON, CSV)

Output ​

Generates COMPLIANCE-REVIEW-[fund-name]-[date].md containing:

  • Compliance Scorecard -- pass/fail/warning for each regulatory framework tested
  • FATCA Analysis -- entity classification (FFI, NFFE), withholding agent status, W-8/W-9 validation, GIIN verification, Chapter 4 status
  • CRS Analysis -- reporting jurisdiction, entity type classification, self-certification validation, controlling persons identification
  • AML/KYC Review -- CDD completeness, beneficial ownership (25% threshold), sanctions screening (OFAC SDN, EU, UN), PEP status, source of funds/wealth
  • ERISA 25% Test -- benefit plan investor percentage calculation, VCOC/REOC exemption analysis, DOL fiduciary considerations
  • Form PF Indicators -- qualifying thresholds ($150M AUM for large advisers), reporting triggers, filing deadline assessment
  • AIFMD Considerations -- marketing passport status, depositary requirements, leverage limits, remuneration policy
  • SFDR Classification -- Article 6/8/9 classification, principal adverse impact indicators, sustainability risk integration
  • Remediation Actions -- prioritized list of items requiring attention with severity and deadline

Example ​

bash
/fund check-compliance greenfield-fund-iv-compliance-package.pdf

/fund kyc-review ​

Description: Performs a detailed Know Your Customer review of investor documentation. Verifies identity, analyzes beneficial ownership structures, screens against sanctions lists (OFAC, PEP databases), and evaluates source of funds documentation. Designed for both onboarding and periodic re-verification.

Usage ​

bash
/fund kyc-review <file>

Inputs ​

ParameterTypeRequiredDescription
fileFile pathYesKYC documentation package (PDF, DOCX, or structured data)

Output ​

Generates KYC-REVIEW-[investor-name]-[date].md containing:

  • Identity Verification -- document type reviewed (passport, articles of incorporation, trust deed), validity status, name matching, expiration dates
  • Beneficial Ownership Analysis -- ownership chain traced to natural persons at 25% threshold, control persons identified, organizational chart with percentages
  • Sanctions Screening -- results for OFAC SDN List, OFAC Consolidated List, EU Consolidated List, UN Security Council List, HMT (UK) List
  • PEP Screening -- Politically Exposed Person check for all beneficial owners and controllers, domestic and foreign PEP classification, family and close associate screening
  • Source of Funds -- documentation adequacy, funds flow analysis, consistency with investor profile, red flags
  • Source of Wealth -- wealth origin verification, supporting documentation assessment, plausibility analysis
  • Risk Rating -- overall KYC risk classification (HIGH / MEDIUM / LOW) with scoring methodology
  • Enhanced Due Diligence Triggers -- conditions requiring EDD, recommended additional steps
  • Re-verification Schedule -- recommended next review date based on risk rating (HIGH: 12 months, MEDIUM: 24 months, LOW: 36 months)

Example ​

bash
/fund kyc-review sovereign-wealth-fund-kyc-docs.pdf

/fund regulatory-filing ​

Description: Prepares regulatory filing documentation and data packages for common fund-related filings. Generates filing-ready content, validates required fields, identifies missing information, and provides filing instructions including deadlines and submission methods.

Usage ​

bash
/fund regulatory-filing <type>

Inputs ​

ParameterTypeRequiredDescription
typeStringYesFiling type: form-pf, form-d, form-adv, fatca-crs, form-13f, fbar

Filing Type Details ​

TypeFull NameRegulatorKey Deadlines
form-pfForm PF (Private Fund Reporting)SEC60 days after fiscal year-end (large advisers: quarterly)
form-dNotice of Exempt OfferingSEC15 days after first sale; annual amendment
form-advUniform Application for Investment AdviserSECAnnual amendment within 90 days of fiscal year-end
fatca-crsFATCA/CRS ReportingIRS / Local Tax AuthorityMarch 31 (FATCA Form 8966); varies by CRS jurisdiction
form-13fQuarterly Holdings ReportSEC45 days after calendar quarter-end
fbarReport of Foreign Bank and Financial AccountsFinCENApril 15 (automatic extension to October 15)

Output ​

Generates FILING-[type]-[fund-name]-[date].md containing:

  • Filing Overview -- form name, regulatory authority, applicable rules, filing deadline
  • Data Package -- all required fields populated from available fund data, with placeholders for missing information
  • Validation Results -- field-by-field validation showing complete, incomplete, and flagged items
  • Missing Information -- list of data points still needed to complete the filing, with responsible parties
  • Filing Instructions -- submission method (EDGAR, IARD, FinCEN BSA, manual), access requirements, filing fees
  • Amendment Triggers -- conditions requiring amendment filing, materiality thresholds
  • Historical Context -- prior filing dates, changes from last filing, consistency checks

Example ​

bash
/fund regulatory-filing form-pf
bash
/fund regulatory-filing form-d

This tool does not provide financial, legal, or tax advice.

FundAdmin AI — 59 Commands, 14 Categories, 5 Agents, Professional Reports