Commodity pool operators (CPO) and commodity trading advisors (CTA) are challenged by the depth and the complexity of the reporting data requirements to comply with the rules mandated by the Dodd-Frank Wall Street Reform and the Consumer Protection Act.
The Commodity Futures Trading Commission’s (CFTC) data collection and risk reporting rule requires CPOs and CTAs (registered or required to register) to file Form CPOPQR and Form CTAPR, respectively.
AxiomSL’s automated, end-to-end solution for Form CPO-PQR and Form CTA-PR reporting on ControllerView enables CPOs and CTAs to efficiently comply with evolving CFTC requirements.
Deployable on-premises or via AxiomSL’s secure RegCloud, reporting entities can consider the implementation that best supports their reporting requirements and future business evolution.
By implementing Form CPO-PQR and Form CTA-PR, clients are prepared to file their reports to both CFTC and NFA and are well positioned to adopt AxiomSL’s Form PF and AIFMD solutions as significant reuse of datapoints exists. AxiomSL’s single data integrity and control platform enables clients to achieve data consistency across many regulatory requirements.
Provides a centralized platform to identify, capture, and integrate information from various administrators and internal sources to prepare the CPO-PQR regulatory filing while enforcing controls to manage compliance risk
Empowers clients with a strategic data-driven solution with complete transparency, drill-down, and audit trail that satisfies regulatory requirements and scrutiny
Handles complex pool structures strengthening clients’ overall compliance stance and audit defense
Enables clients to view data and workflows within a transparent, automated process environment
Positions clients to adopt AxiomSL’s multi-jurisdictional solutions ― including Form PF and AIFMD ― on a single platform ensuring data consistency across regulatory requirements, eliminating manual workarounds and redundant activities, and reducing total cost of ownership (TCO)
Interfaces non-disruptively with client’s existing data structure/processes and deploys to AxiomSL’s RegCloud enabling clients to optimize and future-proof compliance
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