Regulatory Services

Minimize the strain of 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 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 centralized compliance team, as well as an integrated 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 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
• Compliance management system
  • Code of ethics module
  • Trade compliance module

For more details about our services, download our Regulatory Overview