Registered investment advisers (RIA) are challenged by the depth and complexity of the reporting data requirements mandated by Dodd-Frank Wall Street Reform and the Consumer Protection Act.
Enforced by the U.S. Securities and Exchange Commission (SEC), Form PF requires that RIAs disclose large amounts of aggregated financial and operational data for their private funds.
AxiomSL’s end-to-end, automated Form PF solution on ControllerView enables RIAs to efficiently comply with evolving SEC and FINRA 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 PF, private funds and investment advisors are well positioned to adopt AxiomSL’s Form CPO-PQR, Form CTA-PR, and AIFMD solutions where significant reuse of datapoints exists. Utilizing AxiomSL’s single data integrity and control platform enables clients to achieve data consistency for these and many other regulatory requirements.
Monitors SEC regulatory changes, interprets impacts, and updates solutions including edit checks enabling clients to maintain satisfactory compliance and withstand audits
Interfaces non-disruptively with clients’ existing data structure/processes and deploys to AxiomSL’s RegCloud and enabling clients to optimize and future-proof compliance
Enables clients to view data and processes at every step and ensure data integrity originating from disparate sources and systems
Handles complex fund structures strengthening RIAs’ overall compliance stance and audit defense
Positions RIAs to adopt AxiomSL’s multi-jurisdictional solutions ― including Form CPO-PQR, Form CTA-PR, and AIFMD ― on a single platform to ensure data consistency across regulatory requirements, eliminate manual workarounds and redundant activities, and reduce total cost of ownership (TCO)
Empowers RIAs to successfully monitor and comply with regulatory requirements while adhering to PII obligations via an efficient data integrity and control platform that delivers complete transparency
Enables clients to meet stringent submission deadlines via an efficient, automated process environment
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