Broker Dealers

Solutions for Independent and Bank owned Securities Firms

Key Solutions for U.S. Broker Dealers

Net Capital Calculations

Key Solutions: Rule 15c3-1 Capital Reporting, Securities Haircuts, Appendix A – Options Haircuts, Repo and Rev Repo Deficits, Securities Borrow and Loan Deficits

Customer Protection

Key Solutions: Form Custody, Rule 15c3-3 – Customer Reserve, Rule 4210 – Customer Margin Requirements, Rule 4521 – Customer Margin Balance Reporting

Financial and Operational Reporting

Key Solutions: Form X-17A-5 – FOCUS Reports, Form SSOI – Supplemental Disclosure of Income Items, Form OBS – Off Balance Sheet Disclosure, Form SIS – Schedule of Investment Securities, Form 17H – FINRA Risk Assessment Report

Trade and Position Reporting

Key Solutions: EBS – Electronic Blue Sheets Report, Form 13H – Large Trader Reporting, Short Interest Reporting, SEC Form 13F – Institutional Holdings Report, SEC Form 13D & 13G – Threshold Holdings Reports

Other

Key Solutions: US Treasury International Capital – TIC Reports, Bureau of Economic Analysis – BEA Reports, US Census Reports

Global Solutions for Broker Dealers

Common Reporting Standard

AxiomSL’s end-to-end CRS solution includes ongoing support for all reporting schemas, and dashboards for managing the attestation of regulatory reports.

EMIR Transaction Reporting

AxiomSL’s EMIR transaction reporting solution detects all in-scope trades, produces regulatory reports and submits them to trade repositories.

FinfraG Transaction Reporting

AxiomSL’s FinfraG transaction reporting solution detects all in-scope trades, produces regulatory reports and submits them to trade repositories.

IFRS 9

AxiomSL’s IFRS 9 solution addresses key aspects of the requirements, including the classification and measurement of assets.

MiFID Transaction Reporting

AxiomSL provides all of the data collection, validation and transaction reporting functionality needed to comply with MiFID and MiFID II.

Regulatory Reporting

Enterprise financial, regulatory and management reporting system which enables an efficient and effective response to all reporting requirements.

Risk Management

Solution for advanced Risk Management calculation of Market Risk, Credit Risk, Operational Risk, and Liquidity Risk.

Shareholding Disclosures

AxiomSL’s solution provides the rules sets, calculations, templates and reporting functionality needed to remain compliant with shareholding disclosure requirements around the world.

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Contact Us:

General Inquiries

AxiomSL | AMERICAS

+1 212 248 4188
info@axiomsl.com

AxiomSL | APAC

+65 3159 1055
info@axiomsl.com

AxiomSL | EMEA

+44 203 823 4600
info@axiomsl.com

Resource Center

Raymond James chooses AxiomSL’s Platform and Solutions to meet multiple regulatory Broker Dealer and Bank Holding Company reporting requirements

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