Solutions for Independent and Bank owned Securities Firms
Key Solutions for U.S. Broker Dealers
Key Solutions: Rule 15c3-1 Capital Reporting, Securities Haircuts, Appendix A – Options Haircuts, Repo and Rev Repo Deficits, Securities Borrow and Loan Deficits
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
Key Solutions: US Treasury International Capital – TIC Reports, Bureau of Economic Analysis – BEA Reports, US Census Reports
Global Solutions for Broker Dealers
AxiomSL’s end-to-end CRS solution includes ongoing support for all reporting schemas, and dashboards for managing the attestation of regulatory reports.
AxiomSL’s EMIR transaction reporting solution detects all in-scope trades, produces regulatory reports and submits them to trade repositories.
AxiomSL’s FinfraG transaction reporting solution detects all in-scope trades, produces regulatory reports and submits them to trade repositories.
AxiomSL’s IFRS 9 solution addresses key aspects of the requirements, including the classification and measurement of assets.
AxiomSL provides all of the data collection, validation and transaction reporting functionality needed to comply with MiFID and MiFID II.
Enterprise financial, regulatory and management reporting system which enables an efficient and effective response to all reporting requirements.
Solution for advanced Risk Management calculation of Market Risk, Credit Risk, Operational Risk, and Liquidity Risk.
AxiomSL’s solution provides the rules sets, calculations, templates and reporting functionality needed to remain compliant with shareholding disclosure requirements around the world.
AxiomSL | AMERICAS
AxiomSL | APAC
AxiomSL | EMEA
Raymond James chooses AxiomSL’s Platform and Solutions to meet multiple regulatory Broker Dealer and Bank Holding Company reporting requirementsRead More…
SIFMA MiFID II Seminar
AxiomSL will be attending this year’s MiFID II Seminar hosted by SIFMA. The seminar will be a focused discussion on the key considerations of the framework for unbundling and the implications for cross border research.Read More…