Investment Management Regulatory Reporting Solutions

Data-driven platform enables firms to efficiently manage complex multi-jurisdictional requirements with a range of investment management regulatory reporting solutions that facilitate effective monitoring, reflect business nuances, and strengthen analysis and audit outcomes.

AxiomSL Investment Management Regulatory Reporting Solutions

Investment Management Clients Represent $11 Trillion in AUM
SOLUTIONS FOR INVESTMENT MANAGEMENT

Are you ready to meet the new European ESG disclosure requirements due in January 2022?

AUTOMATED | FLEXIBLE | CONTROLLED | CLOUD-ENABLED

End-to-end investment management regulatory reporting solutions provide advanced monitoring and analytic capabilities and enable transparent, holistic approaches to multi-jurisdictional regulatory challenges.

AIFMD and Forms CPO/PQR, CTA-PR, PF

Alternative investment funds and fund managers (AIF/AIFM), commodity pool operators (CPO) and commodity trading advisors (CTA), and private funds (PF) and registered investment advisors (RIA) must meet complex reporting requirements, respectively ESMA’s Alternative Investment Fund Managers Directive (AIFMD), CFTC’s Forms CPO/PQR and CTA-PR, and SEC/FINRA’s Form PF.

On a single data integrity and control platform, AxiomSL’s end-to-end solutions provide a foundation that enables clients to report accurately, strengthen operational efficiency, and advance data consistency across these interrelated requirements.

Global Shareholding Disclosures

To comply with intricate, changing rules across 100 jurisdictions, firms must identify and monitor in-scope holdings, beneficial ownership, thresholds, reporting triggers, and aggregate/disaggregate data according to fund and legal-entity structures.

AxiomSL’s end-to-end, automated, cloud-enabled solution powered by its EquityView data dictionary efficiently handles the intricacies of jurisdiction-specific scenarios solving nuanced data management, market data, regulatory-rule, industry identification, and operating-model challenges and providing essential point-in-time transparency into position history.

FATCA and CRS Tax Regimes

The U.S. Foreign Account Tax Compliance Act (FATCA) and the OECD’s Common Reporting Standard (CRS) embody the global effort to combat tax evasion and protect tax-system integrity. To comply, firms must marshal disparate datasets, conduct enhanced client due diligence and report to various tax authorities globally.

On a single platform, AxiomSL’s FATCA/CRS solution provides a consistent, automated, transparent, and scalable approach to tax data management and reporting. Powered by its TaxView data dictionary architecture, the solution’s eligibility engine enables clients to map volumes of diverse source data to regulatory filtration and classification specifications and report accurately across multiple jurisdictions.

Trade and Transaction Regimes

Firms must comply with granular reporting demands, growing data volumes and multiple regimes including Dodd Frank, EMIR, FinfraG, MAS, MiFIR (APA and ARM), REMIT, ASIC, Canada, HKMA, JFSA, and most recently, SFTR.

AxiomSL’s regime-agnostic solution enables counterparties to comply accurately and efficiently on a single data-driven platform. Powered by its SecurityView data dictionary and robust eligibility and exception management capabilities, the solution seamlessly handles regulatory data collection, validation, enrichment, and submission/reconciliation to relevant trade repositories (TR) and regulatory bodies delivering automated, end-to-end reporting, with full traceability and auditability on intuitive dashboards.


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