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Tracking reporting and compliance

Tracking reporting and compliance

Monitoring your data collection progress? Here is how to view it on Lumonic

Updated this week

Use the Compliance Tracker to see which companies have reported, identify delinquent companies, and quickly can for breached covenants. Data is updated in real time as companies submit.

Navigate the tracker

  1. Find the Compliance Tracker in the left navigation panel

  2. View companies listed on the left, and their compliance status over time

  3. Select your time period with the date filter at the top

  4. Toggle between monthly, quarterly, or annual views

Analyze individual company status

Expand any company to reveal its complete compliance story—from covenant adherence to outstanding deliverables.

Status indicators show:

  • "In compliance" (all clear)

  • "Assigned" (pending deliverables)

  • "Out of compliance" (covenant or reporting breaches)

Step by step:

  1. Search for a company using the search bar

  2. Click on the company's toggle to expand its compliance timeline

  3. View the status of deliverables and covenants for each period

  4. Click view or download links to audit as needed

Filter the list of companies

Slice your portfolio into meaningful segments using filters such as Active vs. Inactive investments, borrowers with metric performance thresholds, or your own custom criteria. Create targeted views for specific PMs' portfolios or companies needing attention.

Step by step:

  1. Click the "Filter" button at the top of the Compliance Tracker

  2. Select your desired company filters (e.g., "Active Only")

  3. Add financial criteria filters as needed (e.g., "T3M Average MRR > $500K")

  4. Click Apply to update your view

  5. Use the Expand/Collapse button in the top left to adjust your view for all companies at once

  6. Export the dashboard to share or analyze in spreadsheets off platform

Best practices for compliance tracking

A few things we see other firms do to run a tight process:

  1. Review the page at least each month +/- 3 days before and after reporting is due

    1. Export the page (upper right) and share it with team members who don't login to Lumonic as often. Keep everyone on the same page.

  2. Follow up with a separate email for any companies that are 3+ days delinquent

  3. Aside from out of compliance companies, review each covenant response in detail. Consider having "cushion" levels for companies approaching 10% of breach.

Need additional help? Contact your Lumonic or reach out to support@lumonic.com.

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