Syntax Names Rule Data Solutions

Granular, quality data to achieve and maintain compliance throughout a product's lifecycle

The SEC’s “Names Rule”* requires fund managers to demonstrate that “at least 80 percent of the value of its assets” are invested in a manner “consistent with its name.”

The Names Rule was recently expanded to cover “funds whose names suggest a focus in investments with particular characteristics,” including:

Syntax offers automated, easy-to-use data files that can help managers demonstrate their compliance with the Names Rule

Example: Measuring Cybersecurity Names Rule Compliance

Business Risk Lens:  Cybersecurity

Syntax Names Rule Solution Benefits

• Automated delivery of qualified universe lists that adhere to regulatory policies and guidelines
• Analysis of company revenues by product line data
• Creation of custom lenses to generate starting universe or measure alignment with a specific theme or investment characteristic
• Available for any reporting period and on-demand

Verify Product Line Data with Direct Citations from Company Filings and Documents

• Product line classification and associated revenue data are based on official regulatory filings and archived for audit purposes
• Clearly identify companies that are inconsistent with the Fund name and those that are not in the portfolio but are consistent with the Fund name

Powered by a 360° View of a Company and its Product Lines

Unlike traditional classification systems that only capture a company’s primary business, Syntax's Functional Information System (FIS®) recognizes a company is multi-dimensional with numerous product lines – each with distinct attributes, risks and impact.