JPMorgan Launches Compliance Web Sites

August 15, 2005 ( - JPMorgan Worldwide Securities Services has launched two Web sites offering information and tools to assist Chief Compliance Officers (COOs) with meeting mutual fund compliance requirements.

In a press release, the company says JPMorgan Compliance Solutions consists of a public and a client Web site providing information about compliance and a variety of resources designed to support CCOs in meeting their responsibilities.

The public page is available at and features an overview of the Compliance Solutions program and provides information about several of the products and services that JPMorgan offers to assist clients with their compliance needs.

Clients have 24-hour access to a client only, password protected site that includes the materials needed to help them meet their obligations under SEC Rules 38a-1 under the Investment Company Act of 1940 and 206(4)-7 under the Investment Advisers Act of 1940 with respect to services JPMorgan provides, according to the news release.

Features of the client site listed in the release include:

  • News & Communications – features an overview of the JPMorgan Compliance Solutions program, client communications, articles, press releases and program presentations
  • Policies/Procedures – includes a Procedure Matrix: an overview of JPMorgan policies, procedures & controls
  • SAS 70 Reports – enables users to view PDF files of Fund Accounting and Custody reports
  • References & Rules – links to the full text of the SEC Rules 38a-1 and 206(4)-7
  • JPMorgan ACCESS – ability to log into JPMorgan ACCESS and get direct admittance to the JPMorgan client portal where clients can access JPMorgan reporting systems to perform independent due diligence and testing or receive periodic reporting.