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Compliance

Audit-ready, continuously - not at the deadline.

Asset Class screens and monitors every investor, creating a full defensible audit trail assembled as you work - with every adjudication staying with your compliance officer, and regulated data handled to the specific regulatory standards that exist around the world.

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Screening, filings and evidence - handled, then passed you for sign-off.

Continuous, evidence-heavy work done for you, with the decision always staying with your compliance officer.

Screen continuously

KYC/AML at onboarding plus ongoing sanctions, PEP and adverse-media monitoring on every investor - not a once-a-year scramble.

Clear exceptions faster

Every open item queued by type - expired KYC doc, AML re-verify, PEP review, missing UBO - with the exact remediation and a drafted chase task.

Fund Administrator Integrated

Working with a fund admin? No problem. We provide a secure link between your fund Admin & Asset Class for data and document sharing, and status updates

Always-ready audit trail

Every onboarding, upload and adjudication logged with user, timestamp and source - exportable for examiners in one click.

Screen continuously

KYC/AML at onboarding plus ongoing sanctions, PEP and adverse-media monitoring on every investor - not a once-a-year scramble.

Clear exceptions faster

Every open item queued by type - expired KYC doc, AML re-verify, PEP review, missing UBO - with the exact remediation and a drafted chase task.

Fund Administrator Integrated

Working with a fund admin? No problem. We provide a secure link between your fund Admin & Asset Class for data and document sharing, and status updates

Always-ready audit trail

Every onboarding, upload and adjudication logged with user, timestamp and source - exportable for examiners in one click.

Screen continuously

KYC/AML at onboarding plus ongoing sanctions, PEP and adverse-media monitoring on every investor - not a once-a-year scramble.

Clear exceptions faster

Every open item queued by type - expired KYC doc, AML re-verify, PEP review, missing UBO - with the exact remediation and a drafted chase task.

Fund Administrator Integrated

Working with a fund admin? No problem. We provide a secure link between your fund Admin & Asset Class for data and document sharing, and status updates

Always-ready audit trail

Every onboarding, upload and adjudication logged with user, timestamp and source - exportable for examiners in one click.

BY THE NUMBERS

Continuous monitoring, not periodic panic.


7

open exceptions, −11 QoQ · 1.2-day avg clearance


96%

KYC complete · 100% sanctions and PEP clear


100%

audit coverage — examiner-exportable

Screening

Onboard once, monitored forever.

Screening runs automatically on every new investor and every inbound wire — sanctions, PEP and adverse media - and re-screens on schedule. Hits surface as exceptions with the supporting detail. Your officer adjudicates.

Initial KYC/AML plus ongoing monitoring

Sanctions/PEP re-screening scheduled

Source-of-funds and UBO reporting

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Exceptions & filings

The remediation, drafted.

Documents nearing expiry trigger drafted renewal requests with a secure upload link, making it easy to manage your compliance responsibilities while also enabling your clients to meet their obligations with minimum fuss or effort.

Exception queue by type with drafted chase tasks

Document expiry monitoring

Auto-scanning and ingestion of uploaded documents

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Audit & inspection readiness

Readiness as a by-product.

Every action on every record is captured as it happens - who, when, from what source - so an inspection or audit is an export, not a reconstruction project.

100% event coverage

User, timestamp and source on every action

Easy examiner export & reporting

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“Asset Class gives us a more efficient way to manage investor onboarding, reporting, and ongoing communications while maintaining the level of discipline and transparency our investors expect.”

José Benedicto

Founder, Shard Credit Partners

Regulatory Compliance FAQs

How does Asset Class help private capital firms manage regulatory compliance?

Asset Class embeds compliance requirements into every workflow: onboarding, subscription processing, capital calls, investor communications and reporting. Every user action is logged, timestamped and immutable, creating a comprehensive audit trail that supports regulatory examinations and corporate governance requirements. Athena, the AI layer of Asset Class, monitors investors for sanctions, PEP and adverse-media hits, flags documents nearing expiry, and drafts the renewal requests and chase tasks for your compliance officer to approve.

Is every action in Asset Class fully auditable?

Yes, Asset Class maintains a complete, immutable audit log of every user action: who did what, when, and to which record. This supports both regulatory compliance requirements and internal governance standards, and makes it straightforward to produce evidence during audits or investor due diligence. Every action by Athena, the AI layer of Asset Class, is logged too, with the decision, the person who approved, amended or rejected it, and the timestamp.

Does Asset Class support KYC and AML compliance?

Yes, Asset Class builds KYC and AML verification into the investor onboarding workflow. It supports configurable compliance questionnaires and document collection, and flags incomplete or non-compliant records before an investor can proceed with a subscription. Athena, the AI layer of Asset Class, extracts KYC data from uploaded documents, runs AML and sanctions screening, and routes each case to your compliance officer, who makes the final decision.

Is Asset Class compliant with GDPR and US data privacy regulations?

Yes, Asset Class is fully compliant with GDPR (EU) and CCPA (California). The platform provides configurable data protection settings based on the location of your firm, your investors, and your funds, including the physical location of the data center housing and processing your data.

Does Asset Class support UBO and source-of-funds checks?

Yes, Asset Class supports UBO and source-of-funds reporting alongside initial KYC/AML and ongoing monitoring. A missing UBO lands in the exception queue with expired KYC documents, AML re-verifications and PEP reviews, each with the exact remediation. Athena, the AI layer of Asset Class, drafts the chase task for each item, and your compliance officer makes the final decision.

How does Asset Class help private capital firms manage regulatory compliance?

Asset Class embeds compliance requirements into every workflow: onboarding, subscription processing, capital calls, investor communications and reporting. Every user action is logged, timestamped and immutable, creating a comprehensive audit trail that supports regulatory examinations and corporate governance requirements. Athena, the AI layer of Asset Class, monitors investors for sanctions, PEP and adverse-media hits, flags documents nearing expiry, and drafts the renewal requests and chase tasks for your compliance officer to approve.

Is every action in Asset Class fully auditable?

Yes, Asset Class maintains a complete, immutable audit log of every user action: who did what, when, and to which record. This supports both regulatory compliance requirements and internal governance standards, and makes it straightforward to produce evidence during audits or investor due diligence. Every action by Athena, the AI layer of Asset Class, is logged too, with the decision, the person who approved, amended or rejected it, and the timestamp.

Does Asset Class support KYC and AML compliance?

Yes, Asset Class builds KYC and AML verification into the investor onboarding workflow. It supports configurable compliance questionnaires and document collection, and flags incomplete or non-compliant records before an investor can proceed with a subscription. Athena, the AI layer of Asset Class, extracts KYC data from uploaded documents, runs AML and sanctions screening, and routes each case to your compliance officer, who makes the final decision.

Is Asset Class compliant with GDPR and US data privacy regulations?

Yes, Asset Class is fully compliant with GDPR (EU) and CCPA (California). The platform provides configurable data protection settings based on the location of your firm, your investors, and your funds, including the physical location of the data center housing and processing your data.

Does Asset Class support UBO and source-of-funds checks?

Yes, Asset Class supports UBO and source-of-funds reporting alongside initial KYC/AML and ongoing monitoring. A missing UBO lands in the exception queue with expired KYC documents, AML re-verifications and PEP reviews, each with the exact remediation. Athena, the AI layer of Asset Class, drafts the chase task for each item, and your compliance officer makes the final decision.

See how AI transforms Private Capital operations

Your competitors are still filling in spreadsheets. You're closing rounds. Asset Class is the unfair advantage that separates the firms who scale from the firms who stall

Request a Demo

See how AI transforms Private Capital operations

Your competitors are still filling in spreadsheets. You're closing rounds. Asset Class is the unfair advantage that separates the firms who scale from the firms who stall

Request a Demo