IT Services and Solutions for Unit Investment Trusts

Software that enables automated aggregation and organization of multi-source capital market and fundamental data needed for UIT’s investment decision-making processes. It automatically structures the collected data by parameters such as security class, issuer, sector, and jurisdiction, and presents it via interactive screening dashboards. When powered by large language models (LLMs), such software can automatically retrieve and summarize asset data from comprehensive issuer documents and compose research reports.

Solutions meant to automate the construction and monitoring of UITs’ multi-asset portfolios. Users can model and analyze the outcomes of various portfolio structures while taking into account the UIT’s investment strategy, financial goals, risk limits, and regulatory requirements. AI-supported analytics can be applied to predict long-term investment performance and suggest the optimal capital allocations. Such software continuously calculates and tracks the chosen return and risk metrics at the portfolio and investment levels.

A centralized workspace to manage interactions with institutional and retail UIT investors, process and store operational documents, coordinate sales efforts, manage investor subscription life cycles, and plan unitholder retention activities. The software automates multi-step workflows across investor onboarding, distributions, redemptions, renewals, and fee and discount management. It can incorporate intelligent investor analytics to forecast resubscription intent and suggest winning strategies for unit offering optimization and investor retention.

Software aimed to streamline the origination, structuring, and distribution of UIT offerings. It automatically generates deal documents (trust indentures, UIT prospectuses, investor agreements, etc.), applying templates in compliant formats, personalized fees and discounts, and channel-specific terms for mediated sales scenarios. Real-time dashboards provide visibility into the entire UIT deal pipeline, including subscription status, distribution progress, investor and broker interaction status, and regulatory checkpoints.

Software that automates UIT transaction recordkeeping, financial calculation, reconciliation, and reporting workflows. It accommodates custom calculations for Net Asset Value (NAV), operating costs, accrued income, unitholder fees, dividends, and taxes. Such tools can auto-aggregate public data on asset prices and issuers’ corporate actions to calculate daily valuations accurately and efficiently. Custom solutions can support any required accounting standards (IFRS, local GAAP, etc.) and disclosure frameworks (e.g., SEC’s Regulation FD).

Solutions that apply rule-based algorithms and robotic process automation (RPA) to automatically generate and distribute unitholder reports, such as account holding and value statements, fee summaries, and compliant tax forms (e.g., an IRS Form 1099). Reporing software provides real-time, interactive dashboards for UIT sponsors and unitholders to track dynamic changes in unit performance and fee impact metrics. LLMs can be applied to auto-compile non-standard reports and tailored investor notes.

Self-service platforms where UIT investors and brokers can securely access trust documentation, unit performance details, and distribution schedules. The portal syncs with the UIT’s back-office systems to auto-capture up-to-date NAVs, positions, and due fees for each UIT holding. Interactive modeling tools allow investors to compare trust offerings based on anticipated performance and tax implications. Clients can communicate with UIT representatives via live chat tools.

Software that automates the enforcement and monitoring of UIT operations’ compliance with the company’s internal policies (trust structure limits, diversification mandates, eligibility restrictions, etc.) and required regulations, including SEC, FINRA, and the Investment Company Act of 1940. Such solutions automatically flag and generate alerts for compliance breaches across areas like KYC, portfolio composition, unit distribution, document management, and fee disclosure.