Trading Compliance

Software and services for the purpose of monitoring and ensuring business activities and functions are in line with trading regulations and laws enforced by various regulatory bodies.

Company: Accuity
If your organisation is seeking to streamline its account, transaction, and trade screening processes, Firco Compliance Link provides a stable foundation on which you can build your regulatory compliance and enhanced due diligence programs. Firco Compliance Link offers a flexible and easy-to-deploy platform, unrivalled connectivity, best-in-class data, and user-friendly interface. Fueled by ...
Company: Accuity
When your business is financing or participating in trade, you need a source of up-to-date intelligence and tools to complete due diligence checks. You need a capability that can support your regulatory compliance on an ongoing basis. With Firco Trade Compliance, you can complete all your compliance checks in one place. This screening includes vessels, ports, and dual-use goods, as ...
siena is the market leading deal capture, cash management, position keeping solution, eTrading & ePayments solution from eurobase.  siena supports all asset classes, aligns to your business requirements and delivers real-time control of your operations.
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 of all rules Jurisdictional comparisons ...
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: Comprehensive rules engine Pre-configured package of ...
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 holding file (simple file format) and press ...
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 market value of qualifying securities are required to ...
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 Comprehensive automated alerts, including against ...
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 non-custody assets – including derivatives, ...
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 Administrators and Prime Brokers, our data normalisation ...
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 funds. It defines common principles, metrics and ...
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 require anyone who is, or might be, ...
Managers of UK authorised UCITS concerning their use of derivatives, including a new Derivatives Use Report that is required to be reported annually to the FCA within 30 business days from 31st October. Funds-Axis provide 2 solutions! We offer a fully automated reporting solution as well as a simple excel to xml conversion solution.   Full Solution Maintain all static data ...
Global Exchanges is a user-friendly online portal providing investment professionals with detailed due diligence analysis when considering the eligibility of securities markets. With global coverage of more than 170 Stock Exchanges in over 90 countries, including Markets in Europe, South America, Africa and Asia, investment and compliance professionals will benefit from our comprehensive, cost ...
Global Disclosures is used by fund managers globally to significantly reduce the time and associated compliance costs involved with researching and investigating disclosure rules in-house. An experienced team of professionals provide comprehensive analysis of regulatory disclosure rules in over 70 jurisdictions through our user friendly online rules portal. Full coverage of disclosure rules ...