Regulatory Reporting Solutions and Services

Relief from the strain, stress and costs of compliance.

Complying with an expanding and complex web of regulatory reporting requirements has become an enormous operational burden and expense, particularly for firms that operate in multiple jurisdictions globally. SS&C GlobeOp helps fund managers, global asset managers and financial services firms meet worldwide regulatory requirements that entail data aggregation, expert analysis, reporting and transparency. With our comprehensive suite of regulatory reporting tools and services, we free up your internal labor and IT resources to focus on productive activity, minimizing business disruption while meeting your regulatory obligations in a cost-effective and timely manner.

SS&C GlobeOp’s regulatory reporting solutions can be used as part of our Fund Services Platform or on a standalone basis.


Regulatory Reporting

AIFMD – Annex IV

  • Alternative Investment Fund Managers Directive - EU
  • Governs alternative investment funds sold to European investors

CPO/PQR

  • Requires registered Commodity Pool Operators (CPOs) to report a wide range of data to the US Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA)

Form 13F

  • US SEC reporting form filed by institutional investment managers pursuant to Section 13(f) of the Securities Exchange Act of 1934
  • Requires institutional investment managers with at least $100 million in qualifying securities to report within 45 days of each calendar quarter

OPERA

  • Open Protocol Enabling Risk Aggregation (OPERA) is a private sector initiative that allows investors to aggregate risk characteristics of funds in which they invest.
  • Covers asset exposure, counterparty risk, and investor breakdown.

TIC (Treasury International Capital) Reporting

  • US regulation requiring financial institutions to report data on cross-border portfolio investment flows and positions between US and foreign residents
  • Data is used in the construction of balance of payments accounts and in the formulation of U.S. international financial and monetary policies

UCITS

  • The “Undertaking of Collective Investment in Transferrable Securities” directive is aimed at creating a pan-European funds market with a defined level of investor protection
  • A post-trade UCITS compliance portal allows you to monitor your daily UCITS investment restrictions.

Basel III

  • Regulatory framework on bank capital adequacy, stress testing, and market liquidity risk
  • Strengthens the requirements on banks capital ratios, liquidity, and risk mitigation

EMIR

  • European Markets Infrastructure Regulation (EMIR)
  • Requires clearing of OTC derivatives with centralized clearing counterparties (CCPs) and reporting of all OTC and listed derivative transactions

Form PF

  • US SEC reporting form required of private funds, including hedge funds and private equity funds
  • Requires SEC-registered advisers with at least $150 million in private fund assets to report
  • Annual Hedge Fund Survey to all licensed hedge fund managers in Hong Kong
  • Completed by all licensed hedge fund managers and advisers.
  • Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR)
  • Mandates that all transactions in designated securities be reported daily, or no later than the close of the following workday 

MiFID II and MiFIR

  • Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR)
  • Mandates that all transactions in designated securities be reported daily, or no later than the close of the following workday 

SEC Modernization: Forms N-LIQUID, N-PORT and N-CEN

  • Requires registered investment companies to monitor their liquidity profile (Form N-LIQUID)
  • Forms N-PORT and N-CEN replace Form N-Q and N-SAR covering general information about a fund, portfolio, risk and performance metrics.

Solvency II

  • EU regulation governing the amount of capital that European insurance companies must maintain to avoid insolvency

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