Funds-Axis Limited

We are a Regulatory Technology company, with a unique combination of regulatory expertise and best-of-breed technology. We are taking the complex challenges with risk, compliance and regulatory reporting and are making them very simple. We help you to meet your regulatory obligations at a lower cost, lower risk and in a shorter time-frame compared to our competitors or if you build an in-house solution.

Company Products

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UCITS Investment Compliance
We offer out-of-the box coverage of the UCITS rules as well as other regulatory rules (Non-UCITS rules, US 1940 Act, Canadian Mutual fund rules etc). For UCITS, this includes: Comprehensive derivatives functionality Liquidity monitoring Multi-jurisdiction coverage Coverage of repos. stock lending etc Full documentation and analysis...
AIFMD Annex IV Reporting
Our solution for AIFMD Annex IV Reporting is market leading and comprehensive. We support hundreds of AIFs annually, including complex derivative funds, infrastructure, real estate and private equity funds. It enables organisations to rapidly comply with the AIFMD requirements in respect of leverage, liquidity monitoring, risk management...
Shareholder Disclosures
Our Shareholder Disclosures solution provides automated monitoring of global shareholder disclosure rules across 80+ countries on a single platform. This includes the monitoring of: Major Shareholdings Takeover Disclosures Short Selling Foreign Investment Rules Sensitive Sector Rules   Key Features: ...
1940 Act Compliance
Funds-Axis provides fully automated investment compliance for 1940 Act funds, with no fuss. This is kept fully up-to-date including for SEC proposals on Asset Segregation and Liquidity Monitoring. Our solution is simple, quick and low cost: Installed or Web-based (SAAS, secure FTP) – no internal technology requirements Just upload...
13F Reporting
Our 13F solution takes the complexities of 13F Reporting and makes it a fully automated, quick, simple and transparent process. It is available as a stand-alone service or as part of a comprehensive suite of regulatory reporting solutions.   About US SEC Form 13F Institutional investment managers who hold at least $100 million in...
Position Limits Monitoring
We offer our clients a fully automated monitoring solution for Position Limits. Key features include: Easy implementation Data provision for all Position limits (including spot, single month and all month limits) Comprehensive documentation and analysis of all rules Tracking of all regulatory developments and position limit changes ...
Depositary Cash Flow Monitoring
Our solution for Depositaries is an out-of-the-box solution for investment compliance, regulatory reporting and cash flow monitoring. It provides the following functionalities to ensure compliance with UCITS V & AIFMD:   Transaction Register for non-Custody Assets Transaction Register functionality Easily capture all...
Value-at-Risk Analysis
We have teamed with Statpro to make available best-of-breed Value-at-Risk Analysis available to our clients.   We can offer you: Standalone VaR; or VaR as a bolt on to UCITS Investment Compliance and/or AIFMD Annex IV Reporting   Clients benefit from our economies of scale, data integrations with multiple Fund...
Open Protocol
OPEN PROTOCOL (previous OPERA – Open Protocol Enabling Risk Aggregation) is a private sector initiative designed to help standardise reporting procedures for collection, collation and conveying hedge fund risk information. There is a standard reporting template which covers all areas relating to performance and risk reporting for hedge...
s. 793 Reporting
With a full history of all holdings, we enable you to quickly respond to s. 793 requests. Simply select the date and issuer (or relevant instruments) to see a detailed analysis of all holdings in relevant instruments.   Overview of s. 793 Requests S. 793 Companies Act 2006 (“the Act”) gives a public company the right to...