Provides automated processes and robust rules engine enabling FIs to monitor daily positions, review results, enhance accuracy and report to multiple jurisdictions
Multiple Jurisdictions and Rules
Regulators in more than 90 jurisdictions around the world require market participants to make specific disclosures when they:
- Accumulate a substantial shareholding in an issuer/security
- Invest in a sensitive industry
- Become involved in a takeover bid
- Engage in short selling
INHERENTLY COMPLEX
Disclosure rules are inherently intricate and vary widely from jurisdiction to jurisdiction. This creates a major challenge for investment management firms and all other reporting entities that need to comply with regulators’ shareholding disclosure requirements in dozens of jurisdictions.
CHANGING REGULATIONS
Not only must firms constantly monitor changes in their holdings across their entity/group structure, but they must also carefully track changes to shareholding disclosure regulations.
Questions to Consider
- Do we have access to market data that is required for monitoring?
- How can we make strategic and scalable reporting decisions given our corporate structure?
- Do we have a process in place for remaining up to date with changing regulatory requirements?
- Are we able to process millions of positions and aggregate them accurately?
- Are we prepared to manage many forms and meet numerous deadlines to monitor and report participation in relevant issuers across jurisdictions?
- Do we have the capacity to accommodate granular and exacting regulator requirements?
- Can we easily identify in-scope holdings, beneficial ownership, monitoring levels, thresholds and reporting triggers?
COMPREHENSIVE and AUTOMATED
AxiomSL’s end-to-end Global Shareholding Disclosures (GSD) solution running on
ControllerView® ― and deployable on its RegCloud® offering ― enables investment management firms and other reporting entities to deliver trustworthy information about their positions and transactions across multiple jurisdictions.
With GSD, firms can remain fully compliant with shareholding disclosure requirements and transparency directives globally, and are positioned to scale with expanding, changing regulatory requirements and data volumes.
Automated complex end-to-end workflow processes and robust rules engine enable users to monitor daily positions, review results, and enhance accuracy.
TRANSPARENT and UP TO DATE
- Provides a transparent foundation for GSD data ingestion, enrichment, processing, validation, and reporting with auditable data and process governance, and a robust automated reporting structure
- Delivers data, oversight, and process visibility in clear, concise views with actionable issue resolution
- Detailed rules monitoring engine and up-to-date rules library covers jurisdictional rules and regulations for 90+ countries enabling firms to accurately monitor position threshold breaches across multiple jurisdictions
POWERED BY THE EquityView DATA DICTIONARY
- Extendable data dictionary is designed to map against data emanating from multiple position source systems, market data providers, and firm’s legal entity apparatus
- Implement once, monitor across multiple jurisdictions taking local rules into account, and establish a point-in-time reporting data set
CAPABILITIES
- Stays current with regulatory changes through seamless updates and local language report functionality
- Identifies thresholds and triggers across jurisdictions
- Provides control and monitoring of end-to-end operational processes via transparent Web-based dashboards
- Delivers data transparency, oversight and process visibility in clear, concise views with actionable issue resolution
- Enables users to drill down into the source data at any level of granularity
AxiomSL’s GSD Solution Powered by The EquityView Data Dictionary ―
A Transparent Framework to Generate A Point-in-Time Reporting Data Set
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