Minimise the Strain of Investment Regulations on Your Firm

Today’s economic and regulatory climate has placed a tremendous burden on management, directors, and regulatory teams to provide increased financial reporting and transparency to both regulators and investors.

Our regulatory services help you meet these reporting and compliance requirements without building an in-house regulatory reporting solution. You’ll benefit from our unique data warehouse approach, our team of industry experts and the ability to track it all from our single comprehensive regulatory compliance platform.  

We offer regulatory and compliance solutions for:  

Pooled vehicles – Alternative vehicles – Separate accounts – Sovereign wealth funds – Family offices – And more

Regulatory Reporting – Outsourced regulatory reporting services supported by a centralised compliance team, as well as an integrated regulatory services platform which facilitates the scoping, data consolidation/aggregation, calculations, review, approval and filing process for reports such as:

  • Form PF
  • Form CPO-PQR
  • AIFMD Annex IV
  • Global Shareholder Disclosure
  • Monitoring for CFTC and Exchange Position Limits
  • RIC Reporting (N-PORT, N-CEN, N-MFP, N-Q)
  • RIA Reporting (13F, 13H, 13D/G)

Investor Compliance – Outsourced investor regulatory compliance services related to investor due diligence, anti-money laundering and activity monitoring including comprehensive oversight reporting on data and process transparency:

  • FATCA
  • UK CDOT
  • OECD CRS

Firm Compliance – Services to support your firm-wide compliance program, including a global regulation library, news event feeds, a comprehensive compliance management tool as well as best practice reviews and recommendations:

  • Regulation event news feed
  • Post-trade portfolio compliance monitoring
  • Regulatory compliance management system
    • Code of ethics module
    • Trade compliance module

For more details about our regulatory services for investment managers, download our Regulatory Overview (PDF)

Our Solution for Investment Managers

Turn infrastructure into competitive advantage

Our comprehensive investment operating platform is designed to support all major asset classes and investment vehicles across diverse investment strategies and jurisdictions

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