Regulatory
SS&C provides data aggregation, expert analysis, reporting and increased transparency to help fund managers, global asset managers and financial services firms meet worldwide regulatory requirements.
Interested in FRTB?
The United States regulations are approaching. Want to prepare for the changes?
Alleviate the Stress, Strain and Costs of Compliance
With our comprehensive suite of regulatory reporting tools and services, we free your internal labor and IT resources to focus on productive activity, minimizing business disruption while meeting your regulatory obligations.
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Complex Requirements Have Met Their Match
SS&C Regulatory solutions for common reporting standards, form PF, FATCA, CPO-PQR and performance analytics for today’s funds and asset managers.
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Gaining Clarity on ESG
Managing investor expectations and navigating compliance Environmental, Social and Governance (ESG) practices have been around since the 1970s, evolving rapidly alongside globalization.
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Regulatory Reporting — Securities and Futures Commission (SFC)
Regulatory Reporting — Securities and Futures Commission (SFC) — New Hong Kong-based regulatory reporting. Learn how can SS&C help.
APAC Regulatory Solutions
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FRR-Annex A Reporting
FRR—Annex A reporting is a new form issued by the Securities and Futures Commission of Hong Kong (SFC) requiring Licensed Corporations to provide detailed disclosures on Qualifying Hedge Funds (QHFs) under management, including fund size, leverage, collateral, stress testing, counterparty exposure and illiquid assets. Submission is typically semi-annual coinciding with standard FRR reporting.
Regulating Authority: Securities and Futures Commission of Hong Kong (SFC)
Applicable Fund Domiciles: Hong Kong Licensed Corporations registered under the Securities and Futures Ordinance (SFO), when one or more QHFs exist six months prior to the reporting month-end wherein it manages the total global NAV of at least USD 500 million for a single investment strategy.
SS&C can help you to:
- Best-in-class proprietary technologies.
- CORE is built to provide end-to-end solutions for managing the Hong Kong based regulatory reporting requirement including enrichment of asset classification, risk ratings, counterparty details and notional calculations.
- Service focusing on intricate details to ensure compliance with the latest FRR—Annex A reporting standards with utmost accuracy and multiple review controls.
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Asset and Wealth Management Activities Survey (AWMAS)
Asset and Wealth Management Activities Survey (AWMAS) is an annual SFC survey collecting data on net fund inflows, assets under management and market composition to inform regulatory policy and oversight.
Regulating Authority: Securities and Futures Commission of Hong Kong (SFC)
Applicable Fund Domiciles: Hong Kong Licensed Corporations and registered institutions engaged in asset and wealth management activities during the period of survey who generated relevant gross operating income from such activities need to file.
SS&C can help you to:
- Streamlined Data Collection: SS&C simplifies the AWMAS survey process, making it easier to gather and submit the required data with minimal effort.
- Regulatory Compliance: With prior experience assisting various clients, SS&C ensures firms stay compliant with evolving regulations by delivering timely and accurate submissions that meet SFC requirements.
- Avoiding Penalties and Reputation Damage: Non-compliance with AWMAS can lead to financial penalties, regulatory actions, and license suspensions, along with the risk of reputational harm and loss of client trust.
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European Union Regulatory Solutions
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Alternative Investment Fund Managers Directive (AIFMD) – Annex IV
Annex IV is a reporting requirement under the Alternative Investment Fund Managers Directive, requiring detailed disclosures on fund activities, exposures and risk.
Regulating Authority: European Securities and Markets Authority (ESMA).
Applicable Fund Domiciles: EU-domiciled funds or non-EU funds marketed in the EU.
SS&C can help you to:
- Remove operational burden and reduces cost with the automated straight-through solution.
- Adapt quickly to new or updated requirements by leveraging existing regulatory reporting data.
- Deliver in-depth subject matter expertise through our dedicated global regulatory team.
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Basel III (FRTB)
Basel III is a global regulatory framework aimed at strengthening bank capital requirements and introducing new regulatory requirements on bank liquidity and leverage.
Regulating Authority: Basel Committee on Banking Supervision
Applicable Fund Domiciles: Not fund-specific (applies to banks globally)
SS&C can help you to:
- Regulatory framework on bank capital adequacy, including FRTB, credit capital, stress testing and market liquidity risk.
- Strengthens the requirements on banks' capital ratios, liquidity and risk mitigation.
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European Markets Infrastructure Regulation (EMIR)
EMIR mandates reporting, clearing, and risk mitigation of OTC derivatives to increase transparency and reduce systemic risk.
Regulating Authority: European Securities and Markets Authority (ESMA)
Applicable Fund Domiciles: EU-domiciled funds or funds trading with EU counterparties
SS&C can help you to achieve:
- Compliance Assurance - Partnering with us will significantly reduce the risk of non-compliance, prevent the imposition of exorbitant fines and penalties, and demonstrate your unwavering commitment to fulfilling regulatory requirements.
- Cost Optimization - Our expertise allows you to eliminate the need for extensive in-house resources, freeing up valuable time and resources to focus on your core business functions.
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Open Protocol Enabling Risk Aggregation (OPERA)
OPERA is a voluntary risk-reporting framework designed to standardize hedge fund data reporting.
Regulating Authority: Standards Board for Alternative Investments (SBAI [formerly HFSB])
Applicable Fund Domiciles: Voluntary; applies to global hedge funds that adopt it
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Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR)
MiFID II and MiFIR enhance investor protection and market transparency, covering trading practices, reporting, and governance in EU financial markets.
Regulating Authority: European Securities and Markets Authority (ESMA)
Applicable Fund Domiciles: EU-domiciled funds and firms offering services in the EU
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Solvency II
Solvency II sets capital requirements and risk management standards for EU insurers to enhance consumer protection and financial stability.
Regulating Authority: European Insurance and Occupational Pensions Authority (EIOPA)
Applicable Fund Domiciles: EU-domiciled insurance firms; impacts funds sold to insurers
SS&C can help you to:
- Make informed risk-based decisions
- Enhance liquidity risk monitoring
- Access interactive dashboard for business users
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Undertaking of Collective Investment in Transferrable Securities (UCITS)
UCITS are EU-regulated funds that meet strict investor protection and diversification rules for retail investors.
Regulating Authority: European Securities and Markets Authority (ESMA)
Applicable Fund Domiciles: EU-domiciled funds (especially Ireland, Luxembourg)
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United States Regulatory Solutions
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Automatic Exchange of Information (AEOI)
The Automatic Exchange of Information is a global initiative for tax transparency, requiring financial institutions to report information on foreign account holders.
Regulating Authority: Organisation for Economic Co-operation and Development (OECD)
Applicable Fund Domiciles: Global (any jurisdiction participating in Common Reporting Standard [CRS])
SS&C can help you to - take the guesswork out of a highly complex regulation. With SS&C managing the entire investor process, managers can focus their efforts where it counts.
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Commodity Pool Operators (CPO)/PQR
Commodity Pool Operators must file Forms CPO-PQR to provide data on investment strategies, exposures, and risk metrics of their pools.
Regulating Authority: Commodity Futures Trading Commission (CFTC)
Applicable Fund Domiciles: US-domiciled funds registered as commodity pools
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SEC Form 13F
Institutional investment managers with over $100 million in assets must disclose equity holdings quarterly through Form 13F.
Regulating Authority: Securities and Exchange Commission (SEC)
Applicable Fund Domiciles: US-based investment managers (regardless of fund domicile)
SS&C can help you to - create or update your compliance and reporting procedures including implementing systems and services to offload the administrative and resource burden, given the new frequency and complexity being introduced with the new Form PF rules.
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SEC Form PF
Private fund advisers must file Form PF to provide data on hedge funds and private equity fund assets, exposures, and risk metrics.
Regulating Authority: Securities and Exchange Commission (SEC)
Applicable Fund Domiciles: US-domiciled funds or funds managed by US-based advisers
SS&C can help you to:
- Reduce your compliance risk
- Reduce your cost of compliance
- Free your in-house staff and resources
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SEC Modernization: Forms N-LIQUID, N-PORT and N-CEN
These forms modernize reporting for registered investment companies, focusing on liquidity, portfolio data, and census information.
Regulating Authority: Securities and Exchange Commission (SEC)
Applicable Fund Domiciles: US-based investment managers (regardless of fund domicile)
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Treasury International Capital (TIC) Reporting
TIC reports capture cross-border capital flows and holdings between the US and foreign entities, supporting macroeconomic and policy analysis.
Regulating Authority: U.S. Treasury
Applicable Fund Domiciles: US-domiciled funds or foreign funds with US exposure
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