Ragini Communications Inc.


Form PF, ADV, CPO-PQR & CTA-PR Solution

Ownership + Position + Portfolio

The adoption of Rule 204(b)-1 under the Investment Advisers Act of 1940 and the finalization of Form PF is a watershed event for private fund advisers. Rule 204(b)-1 will require SEC-registered investment advisers who manage private funds to report risk exposure statistics on a consistent basis starting June 15, 2012 on Form PF.   more...

Foreign Account Tax Compliance Act (FATCA) Solution

Customer Identification + Reporting + Withholding

The Foreign Account Tax Compliance Act (FATCA), which comes into effect on July 1 2014, is intended to reduce the levels of tax avoidance by U.S. citizens and entities through Foreign Financial Institutions (FFIs).   more...

Legal Entity Identifier (LEI) Solution

Entity Details + Update Notifications

Operating under a self-registration model, the objective of the Legal Entity Identifier (LEI) initiative is to create a globally unique unambiguous identifier associated with a single corporate entity.   more...

Sarbanes-Oxley (SOX) Solution

Business, Financial & IT SOX Controls + SDLC, Document Archive & Audit Tracking

Sarbanes-Oxley act requires that a firm identify, document, test and audit internal controls to enable SOX compliance.   more...

Internet Proxy Material (IPM) Solution

Create & Send Notices + Proxy Voting

Internet Proxy Material provides firms the ability to let their brokers, sales managers, employees, operations staff and other partners to be always aware of the latest internal compliance related communications, legal and Proxy Notices.    more...


Customer ID Program (CIP) Solution

Watch List Screening + Identity Verification Services

This USA Patriot Act, OFAC BSA compliant software solution is used for screening new and existing customers. This software can be used by Banks, Brokerages, Insurance Companies, Credit Unions, Money Service Business, Data Processors, Casinos and Mortgage Brokers.    more...

Anti-Money Laundering (AML) Solution

Transactions + Global Profile, Account Profile, OFAC Screening & Case Manager

This Anti-Money Laundering Solution lets you monitor transactions by creating global and account level profiles. The trade blotter is primarily used to classify transactions. Suspicious activity can be mapped to historical transactions to identify trends.    more...

Suspicious Activity Reporting (SAR) Solution

Identify, Track & Monitor Suspicious Activity + Create SAR, eFile SAR & Maintain SAR Records

Suspicious Activity must be identified & reported to proper authorities. Once the Suspicious Activity Report (SAR) is filed, firms must further make an effort to track the follow-up tasks as may be required.    more...

Compliance Memo & Notices Solution

Create & Send Notices + Track Notices Viewed

This Compliance Memo & Notices Solution provides firms the ability to let their brokers, sales managers, employees, operations staff and other partners to be always aware of the latest internal compliance related communications, legal notices & memorandum.    more...

Customer Complaints Solution

Record Complaints + Track Complaints

Customer Complaints Solution is to record customer, employee and other operational complaints and to plan & track action items & follow-up tasks. The goal of this software is to reduce the number of complaints becoming cases.    more...

Law Enforcement

Nationwide Suspicious Activity Reporting (SAR) Initiative - NATSARIN Solution

Sharing Of Information + Prevent criminal or terrorist activity

The Nationwide Suspicious Activity Reporting (SAR) Initiative (NSI) Program Management Office (PMO) initiated operations in March 2010 with the challenge of ensuring that regardless of where in the country suspicious activity is reported, these potential indicators of terrorist activity can be analyzed and compared to other SAR information nationwide.    more...

Hedge Funds | Private Equity Funds | Real Estate Funds | Venture Capital Funds | Liquidity Funds | Securitized Asset Funds | Banks | Brokerages | Insurance | Credit Unions | Money Service Business | Futures Merchants | Thrifts | Mortgage Companies | Mortgage Brokers | Mortgage Lenders | Mortgage Originators | Casinos | Card Clubs | Foreign Account Tax Compliance Act (IRS / US Treasury Reporting) | Legal Entity Identifier (Dodd-Frank, Office of Financial Research, LEIROC) | Form PF (Dodd-Frank, SEC, CFTC Reporting) | Suspicious Activity Reporting (Financial Crimes Enforcement Reporting) | Customer ID Program-KYC (USA Patriot Act Reporting) | Anti-Money Laundering (BSA / FINRA Reporting) | Sarbanes-Oxley Act (Public Company Act. Reform & Investor Protection Act) | Internet Proxy Material (SEC Rule 17 CFR Parts 240, 249 and 274) | Customer Complaints (Enhanced Due Diligence) | Compliance Memo & Notices (Enhanced Due Diligence) | NATSARIN (Department of Homeland Security)

Copyright Ragini Communications Inc. 1996 -

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