In about 100 jurisdictions, regulators governing beneficial ownership disclosures monitoring and reporting want to know when a firm’s equity ownership breaches certain thresholds across the following jurisdiction-specific scenarios:
Firms must interpret complicated rules, identify thresholds and reporting triggers, surveil myriad jurisdictions for rule changes, understand the implications of breaching, monitor diverse disclosure timeframes and frequencies, and quickly adjust jurisdictions as exposures change.
Firms must manage disparate position source systems, ingest required market data attributes, reflect fund and legal entity structures in required aggregation/disaggregation, identify beneficial ownership and capacity type, and generate required point-in-time datasets.
Powered by EquityView, an extensible data dictionary
Rules engine underpinned by a curated rules library from aosphere’s Rulefinder SD
Optional adaptor automatically retrieves Refinitiv’s critical market attributes
Monitoring and reporting operating model needs powered by AnalyticView
On-demand navigation to historical monitoring and reporting data and rules
Encompasses consistent, repeatable workflows in a user-controlled environment that easily adapts to the firm’s target state operating model.
High volume processing and intra-day runs accommodate demands. Automation significantly reduces operational risk throughout native position, market, and legal data ingestion, calculations, report generation, validation, and sign-off.
Secure, scalable RegCloud deployment provides a fully managed change service that ensures firms have the latest regulatory rules and software and delivers seamless data ingestion and rules-engine processing.
Eliminates technology infrastructure burdens and enables firms to concentrate resources on shareholding vigilance and submission validation.
Architecture ensures that missing mandatory elements in position, market, and legal entity data for monitoring and subsequent reporting are flagged for correction either at source or in the client’s uploaded format.
Additionally, an optional adaptor provides firms the opportunity to seamlessly incorporate Refintiv market data attributes.
Regulatory analysts interpret aosphere’s (an Allen & Overy LLP affiliate) Rulefinder SD legal memo feed. Enables accurate aggregation of beneficial interest data by legal entity and jurisdiction and informs calculations.
Encompasses both industry-standard and client-driven rule interpretations, easy-to-read definitions, and point-in-time rule set with complete audit trail.
A sophisticated threshold calculation methodology enables correct application of rules across multiple jurisdictions.
The engine flexibly aggregates and disaggregates holdings in group structures and calculates share ownership determining threshold breaches across the jurisdiction-specific scenarios: significant holdings, short positions, takeovers, and sensitive industries.
Regulatory/proximity alerts dashboards enable compliance teams to monitor for disclosable events. Exclusion/validation dashboards flag data quality and validation failures for operations teams.
Ubiquitous data and rule drilldown enable granular inspection. The system delivers the submission histories, daily point-in-time datasets, and lineage for required compliance and audit defense.
Streamlines beneficial ownership monitoring and reporting across jurisdiction-specific scenarios globally
Reduces regulatory TCO via a fully managed secure, scalable RegCloud deployment
Enables firms to respond nimbly to regulatory rule and business-driven changes
Easily accommodates client-driven rule interpretations when necessary and provides direct drill-down to original rule
Transparent data management strengthens data quality and solves the market data/provider challenge
Dashboards, drilldown, lineage, and point-in-time datasets inform monitoring, analysis, and regulatory scrutiny
In about 100 jurisdictions, regulators are paying close attention to shareholding monitoring.
Learn how AxiomSL’s Global Shareholding Disclosures solution enables firms to meet their reporting requirements in all jurisdictions, on a single platform.
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Are we able to quickly process and accurately aggregate and disaggregate millions of positions?
Are we staffed to surveil and interpret intricate, changing disclosure rules globally?
Can we efficiently identify in-scope holdings, beneficial ownership, monitoring levels, thresholds, and triggers?
Do we have reliable access to market data attributes required for threshold calculation?
Are we prepared to manage the nuances of sensitive industries reporting scenarios?
Can we make strategic and scalable reporting decisions given our corporate structure?
Learn more about AxiomSL’s Global Shareholding Disclosures solution