Regulatory services.

Regulatory filing for registered advisors to private funds, providing regulators with insight into fund operations, strategies, and risk exposures, with frequency based on assets under management.

Quarterly CFTC filing for registered commodity pool operators, capturing standardized pool and fund-level data.  

Regulatory transparency report for alternative investment fund managers marketing in the EEA, with reporting frequency determined by assets and activity. 

Monthly and annual regulatory reporting for ’40 Act funds, supporting SEC oversight of portfolio holdings, liquidity, and operational data.

Annual regulatory filing for Cayman private funds, submitted to CIMA alongside audited financial statements.

Federal Reserve filings capturing cross-border‑ investment positions and transaction activity.

Solvency II reporting supports insurance investors by providing standardized data required to calculate solvency capital requirements.

OPERA is a voluntary transparency framework that enables standardized risk reporting and provides access to broader institutional investor bases.

Ownership disclosure filings, including Forms 13F, 13H, 13D, and 13G, supporting transparency in publicly-traded securities.

Form ADV is a required regulatory filing that discloses an investment advisor’s business, strategies, assets, and key personnel.

Ongoing monitoring and reporting of financial covenants associated with borrowing arrangements, supporting visibility into compliance with lender requirements. 

Daily monitoring of holdings against global ownership thresholds, with preparation and filing of required jurisdictional disclosures.

Monitors portfolio activity after trading to ensure ongoing compliance with investment guidelines, regulations, and prospectus restrictions.   

Daily liquidity risk monitoring for ’40 Act funds, including breach reporting to boards and regulators when required.

Daily derivatives risk monitoring to support compliance with SEC requirements for ’40 Act funds.

Post‑trade compliance monitoring for UCITS funds against regulatory and investment restrictions.

FATCA reporting to identify and report U.S.-specified persons investing in U.S. and non‑U.S domiciled funds, supporting regulatory transparency requirements.

CRS reporting supports the collection and exchange of investor account information across participating jurisdictions.

Daily monitoring and reconciliation of all cash accounts, held by, or on behalf of, alternative investment funds.

Oversight of fund assets to ensure proper recordkeeping and control, including look-through supervision where required.

Ex‑post oversight of asset records, processes, and valuations to support control and governance requirements.